Bangkok, October 5, 2015 ? The SEC notified Polaris Capital Public Company Limited (POLAR) to submit and clarify all information within seven days as well as ordered the approval of POLAR capital

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Money Market Fund,Super Savings Fund : SSF | Offering Date : 02/05/2006 - 08/05/2006

without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own

Microsoft Word - el287ee KUANG PEI SAN FOOD PRODUCTS PUBLIC COMPANY LIMITED SELLING THE INVESTMENT CAPITAL OF TRANG SURE CO.,LTD. A Kuang Pei San Food Products Public Company Limited would like to

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered

Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered

explaining the impact of redemption in such manner. As a result, the client became in breach of the conditions for receiving tax benefits and was consequently ordered by the Revenue Department to return the

), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017

company does not proceed, then the company secretary may request the audit committee to consider the matter, and if it turns out to be a related party transaction, make sure it complies with the governing