found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
the development of the application that would be beneficial for investors, with which basic information can be convenient found and inspected. This application is another one of the measures
Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be
Thai Unique Coil Center Plc. (TUCC) shares and Vorapin Ngamkaiwan for using inside information to sell TUCC shares.With the referral from the Stock Exchange of Thailand, the SEC?s probe found that during
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
}, GSTEL executive and (4) {D}, GJS director and executive. The SEC found that in early 2008, GSTEL and GJS, its subsidiary, made advance purchase orders of a large amount of steel from overseas suppliers at