Mr. Preecha Wongpa Mr. Preecha Wongpa failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint
Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
Operator หรือ ตัวแทน (“local representative”) ซ่ึงเป็น ผู้ยื่นค าขอตรวจสอบลักษณะหนว่ยของ ASEAN CIS ในประเทศไทย (“ผู้ยื่นค าขอฯ”) จะต้องระบจุ านวนเงนิทีจ่ะ เสนอขายในประเทศไทยเป็นสกลุเงินบาท และระบุช่ือ ผู้รับ
the Provident Fund B.E. 2530 (as amended by the Ministerial Regulation No.7, No. 9, N0.10) 3 The identity Card of Registrar and Competent Officer B.E. 2532 SHARE : For More Information
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
rendered continuous support to Thai audit firms that were not affiliated with the Big-4 firms (“local firms”) and audited the financial statements of listed companies, to enhance their strength. In doing so
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of purchase
conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows: (1) Prohibiting local securities companies from accepting orders of
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