Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing
assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC
trading account to buy 9,000,000 ESTAR shares based on inside information he learnt as the CEO. Such information was about the company?s Q4/2013 performance with significant increase in revenue and profit
fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PIA) form.To ensure complete information in the report which will replace the PIA, SEC has proposed
request for repayment from assets of the foreign banks; or the foreign banks may draw profit or capital from their branches. In addition, the issuing branches are required to furnish and disclose credit
?Pride of the Provinces III?, they are required to meet the criteria of having paid-up registered capital and shareholders? equities not less than 20 million baht, or having either profit or retain
surplus to gain on sale of the assets presented in the income statement. The transfer was, however, not complied with the accounting standards stating that the revaluation surplus has to be transferred