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...
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 1,500,000 baht on Chakkit Thanavirun, a former executive of Bliss-Tel Plc. (BLISS) for imparting false
Bangkok, 21 September 2016 ? The Criminal Fining Committee has imposed separate fines on three offenders involved in false statement and insider trading of Rasa Property Development Public Company
false or intended to mislead other persons about the financial condition or the share price of MLINK, now renamed as Ferrum Public Company Limited (FER). Following a referral from the Stock Exchange of
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
inaccurate and false preparation of such records. The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to
and former directors of EARTH had jointly acted, conspired, permitted, or helped another in making false entries or failing to enter material statement in relation of the debt, for the purpose of
facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led
persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to
auditor’s understanding of his/her client. The planning and performing of these procedures, whether alone or in combination with tests of details, should be in accordance with the requirements of the relevant