to the Office of the Securities and Exchange Commission, and by failing to ensure that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the

Complaint Filed with an Inquiry Official Dated 17/04/2018 making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s

Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use

that such applicants whose performance met the quality criteria but who had been declined due to affiliation with audit firms failing to meet the requirement of four auditors at a minimum. The

Earlier, the Civil Penalty Consideration Committee resolved to apply civil sanctions against Mr. A for obstructing and failing to set up a board of directors meeting and a shareholders meeting to

public announcement of a business takeover but failing to meet certain pre-conditions for making a tender offer for securities of such business because of uncontrollable external factors will be exempted

in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In

derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the