EASTERN ENERGY PLUS COMPANY LIMITED Eastern Energy Plus Company Limited (“EEP”) offered for sale newly issued securities in the category of debentures without approval from the SEC office which is in
AI Energy Public Company Limited AI Energy Public Company Limited (“AIE”) has failed to submit the reviewed financial statement for Q3/2016 to the SEC and the SET within the specified period. On June
ENERGY MAHANAKHON COMPANY LIMITED This case is in the process of inquiry by the inquiry official. SEC Act S.34 Criminal Complaint Filed with an Inquiry Official Dated 27/12/2023
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal
sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
True Energy Company Limited True Energy Company Limited failed to prepare and submit the result of the private placement bonds sale report (series 2) to the SEC office within August 30, 2018
True Energy Company Limited True Energy Company Limited failed to prepare and submit the result of the private placement bonds sale report (series 3) to the SEC office within March 2, 2019
True Energy Company Limited True Energy Company Limited failed to prepare and submit the result of the private placement bonds sale report (series 4) to the SEC office within November 27, 2019