barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
, these five unlicensed firms are or used to be located at the same site at 400 Soi Ladprao 94 (Panjamitr), Wangthonglang, Bangkok 10230. From the SEC?s finding, these firms have operated derivatives
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
verification showed the match with Surasak?s signature in the opening account request form and letter of explanation. Furthermore, it was found that the addresses used by Surasak and Thanjira are the same and he
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
used in investing activities in the amount of THB 433 million as a result of cash paid to the current investment THB 211 million and cash paid for purchasing fixed assets, intangible assets, and
totaling 18.97 percent of the paid-up capital. Description of the Transaction The Company will grant the financial assistance to GSTEL by extending the period of unsecured short term loan to be used as
Capital I in form of a secured loan to be used as working capital in the business operation and fund to source raw materials in the amount of not exceeding USD 50 million or equivalent to THB 1,657 million
facility agreement with Link Capital I in form of a secured loan to be used as working capital in the business operation and fund to source raw materials in the amount of not exceeding USD 50 million or
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or