Further to requests via the media for the SEC to promptly announce the result of its investigation on SCIB-C1 case, the SEC would like to inform that presently, the investigation into SCIB-C1 case
Bangkok, January 22, 2009 ? The SEC has devoted its resources into the inspections of documentary evidence which may be related to the case of possible violation of securities laws involving S.E.C. Auto Sales and Services Plc. (SECC), Picnic Corporation Plc. and World Gas (Thailand) Co., Ltd. The evidence has been seized during the raids on relevant premises conducted by the police and the SEC officers.Today (January 22, 2009), 30 SEC officers together with more than 30 police officers of the Ro...
Bangkok, October 13, 2006 ? On June 30, 2005, the SEC filed criminal complaint against former executives of Picnic Corporation Plc. ("PICNI") with the Department of Special Investigation (DSI) for
Bangkok, December 17, 2008 ? The SEC reported considerable progress on the investigation into the case of S.E.C. Auto Sales and Services Plc. ("SECC"). The results are expected to come out soon and
may be deemed insider trading and front running to take advantage of the fund under his management and the investing public, the SEC reaffirms a thorough and transparent investigation into the matter
the consideration of whether the defendant is guilty is under the DSI’s investigation, the public attorney’s prosecution, and the court’s jurisdiction, respectively.
constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume