SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to
Ms. Lapat-orn Gajaseni Ms. Lapat-orn Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about
Mr. Sahadchai Gajaseni Mr. Sahadchai Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about
Mr. Khemmapope Gajaseni Mr. Khemmapope Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about
Mr. Tharathon Phiboonthammasak Mr. Tharathon Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would
. Other securities regulators in an ASEAN jurisdiction may be included in the Framework when they meet the entry requirements. ASEAN exchanges with a substantial role in reviewing qualitative listing
before the offering. Thus, if the existing shareholders do not exercise their right, there may be a significant price dilution. However, MORE included the exercise of MORE-W3 warrants in the calculation of
acquired in 2016 and 2017. In 2018, the revenues from renewable energy are starting to contribute a significant portion of the profits. Padaeng Industry Public Company Limited and its subsidiaries (“the
(Baht 2,212 million) which was charged from the contract party, resulting in substantial rise in net profit of Q1/2010 at Baht 1,788.1 million which rose by 193.47% from the same period of 2009. Mr