Complex Type 3 Investment Consultant
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
, if the auditor finds additional facts, GL may have to rectify the amount of money in the financial statements further in addition to the rectification ordered above. Information contained in this
realization of the losses, the above four persons ordered or permitted or facilitated recording of account entries of overseas trade accounts payables lower than actual liabilities. In case of GSTEL, the said
procedure or failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed criminal complaint against them with the DSI for further legal proceedings.During the legal proceedings, {A} is
SEC investigated further and found that Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.Evidence showed that
capital market" means a juristic person having narmal business purpose to value any asset and wish to contribute appraisal services for capital market transaction. "Lead appraiser" means a personnel of
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
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
), 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