issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount of 430 million baht. According to evidences, it is reasonable
Mrs. Pantipa Thirakanokvilai On January 30, 2013 and February 4, 2013, Mrs. Pantipa Thirakanokvilai, the financial controller of IT City Public Company Limited (IT) sold 374,440 shares of IT through
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by acting or omitting to do any act which is specified in the notification of the SEC
Lease IT Public Company Limited Lease IT Public Company Limited (“LIT”), a securities issuer, failed to prepare and submit the key financial ratio report for the year 2021 through the transmission
Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital
control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. The act of Zipmex did not operate other than the
Mrs. Chonticha Supaluxmetha Mrs. Chonticha Supaluxmetha, Managing Director who is responsible for the Lease IT Public Company Limited (“LIT”), shall be liable for LIT’s failure to prepare and submit
Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
of the total voting rights of BTNC. Later SIRATARN reduces its shareholding below such trigger point, it then was exempted from the requirement to make a tender offer. SEC Act S.247 Settlement