company" means a securities companies licensed to undertake securities business in the category of mutual fund management; “unit” means an investment unit of mutual fund or trust unit of trust, as the case

mobilizer as prescribed under Clause 1 (2) (3) and (4), as the case may be, only in the case where a foreign business issues a private placement of debt instrument or sukuk. Clause 23 A foreign auditor who

/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market

financial statements of NMG.    The evidence in this case has revealed that the NMG’s financial statements for the year 2015 to 2017 showed manipulated income and unrealized advertising income, which were in

March 2019. Therefore, SEC will not accept her future application for approval as personnel in the capital market for 15 months in the same manner as for the case of her approval as investment

and Section 296/2 of the Securities and Exchange Act (No. 5) B.E. 2559 (2016). In the case of Usuma and Thitirat, their acts are liable to be the offenses under the aforesaid Sections in conjunction

Bangkok, 7 June 2018 ? The SEC has imposed civil sanction in the case of share manipulation of Asset Bright Public Company Limited (ABC) (currently named Digital Tech Planet Public Company Limited

or executives for a specified period.With the facts and evidence found following the case referral from the Stock Exchange of Thailand (SET) and the SEC ‘s investigation, it was presumed that Laksana

was 447,263,780.45 baht.  This manipulation case is in connection with the criminal complaint the SEC had earlier filed against four other co-principals with the Department of Special Investigation (DSI

Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were committed.In the case of Veerachai, Nomura was informed by the clients that they had transferred money