for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining license

. Thus, she jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section

to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the

conduct constitutes operating as a digital asset dealer without obtaining the required license. This case is in the process of inquiry by the inquiry official. DAB Act S.26 Criminal Complaint Filed with

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

confidential business secret is deemed performing duties dishonestly and betraying investors? confidentiality.  Investor contacts are key capital market personnel who have direct and close contact with investors

account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting

1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting