leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC
the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
with the SEC, thus causing it to be an unapproved share offering.NEWS private placement without the SEC approval was in violation of Section 33 and liable to the penalties under Section 268 of the
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
On 4 January 2024, MORE sent an invitation to the Extraordinary General Shareholder Meeting No. 1/2567 to the shareholders with the agenda concerning the consideration for approval of a registered
Bangkok, 13 June 2018 ? The SEC has announced that the other six offenders in the share manipulation case against Asset Bright Public Company Limited (ABC) have consented to the civil sanction
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She