person 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 289
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor
Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E
than mobile top-up service. With more than 130,000 kiosk covering nationwide, along with service agents over the country, either in the city or upcountry. Resulting in easily and conveniently access for
Bangkok, November 21, 2013 ? SEC has reintroduced mobile application ?start-to-invest III?, providing asset allocation feature to assess risks and expected returns, and channel to a variety of
Mr. Supawit Sootisong Mr. Supawit Sootisong, the director of GISP Ltd. (GISP) operated derivatives business without license under the name of GISP by representing GISP to the general public as a gold
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992