Year : 2012
Bangkok, 20 April 2017 ? The SEC has filed a criminal complaint against former directors and executives of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on {A} for obstructing and not cooperating with other IFEC directors to set up board of directors meetings and a shareholders meeting to appoint new directors to fill vacancies, while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that {A} disobeyed the board of directors’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such mis...
SEC has alleged that the former directors of Adamas Incorporation Public Company Limited (ADAM) and others, a total of eight persons, namely (1) Mr. Boonpiam Eamroongroj (Chairman of ADAM at the
EARTH has disclosed the notice of the Extraordinary Shareholders’ Meeting No. 1/2020 on the company's website, which contains a proposal, as per a letter from the shareholders, for consideration and approval of an offering of capital shares for a private placement to Mr. Pisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Mr. Phiboon Phihakendr at the amount of 973,241,553 shares at the price of 0.0001 baht per share, totaling 97,324 baht, so that...
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions as originally intended by the investor. In so doing, she made and sent false documents to the invest...
remaining 20 million baht was used for the benefit of {A} and {D}. Such demeanors were deemed seeking benefits for oneself or other persons illegally. The acts of such former directors and executives of
financial statements via the Electronic Information Transmission System of the Stock Exchange of Thailand (SET) in August 2018. The misconduct of the four current and former executives and directors* is
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A} assured his colleague that it was the client’s decision. Therefore, the transaction had been execute...
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while...