juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division
the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty
B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
calendar years. Hence, the Revenue Department requested the return of tax amount previously deducted plus fines. {A} admitted that she did not review the client's redemption of BLTF units and thus did not
to inform such material information led to the Revenue Department?s demand for refund of the tax deduction money plus a fine imposed on the client. {A}, however, has already compensated for the
the client of FIFO criteria applied by the Revenue Department. Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
investment units in the portion yet to satisfy the minimum of 5 year investment.The said action was a violation of conditions prescribed by the Revenue Department, causing the client to pay back tax deductions
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and