Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and 3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute (TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on...
compliance with the Notification on Connected Transactions. The Board of Directors resolved to propose the matter at the Extraordinary General Meeting of Shareholders in order to seek confirmation from the
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to comply with the civil sanction. Later, on 26 February 2018, the public prosecutor filed a legal action against Surasak and Ekkamon with the Civil Court after the SEC had submitted the case for the Court to impose the civil sanction on them in the Undecided Case No. Por. 1060/2561 between the SEC...
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
intention to conceal the fact and fabricating false evidence. She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses. Following a referral from
baht as specified to the counterparty. According to the evidence, the counterparty had already repaid the 30 million baht to WORLD through Ms. Hongsri and Mr. Chiyachantana. However, there was no proof
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
gave them to the clients as completed transaction evidence, or opened fake accounts in the clients' names or others', and upon fund maturity deposited money of other clients into the clients' saving
Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of