case of foreign company Offer of ESOP must be approved by home regulator which is a member of International Organization of Securities Commissions (IOSCO) and Signatory A of IOSCO MMOU concerning

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

banned from performing duties as a branch manager for any business related to capital market. Both cases took effect on 30 May 2017. In the case of (3), {C} advised a client to invest in a trigger fund

, the SEC urged short-term debt issuers to secure a reserve fund to prevent liquidity issues. In this particular case, the company must clarify information to investors to prevent damage to the overall

Corporation Co., Ltd. and/or T.M.B. Leasing Co., Ltd.) and fraud. Apart from this case, on August 2, 2011, the Southern Bangkok Criminal Court sentenced (1) {X2} Co., Ltd., (2) {C}, and (3) {D} for undertaking

distributed to retail investors together with the subscription form. In case of direct listing of DW on the Stock Exchange of Thailand (SET), DW issuer must provide fact sheet on website of issuer, SET or SEC

sheet must be distributed to retail investors together with the subscription form. In case of direct listing of DW on the Stock Exchange of Thailand (SET), DW issuer must provide fact sheet on website of

the Securities and Exchange Act B.E. 2535 (1992) in conjunction with Section 83 and Section 86 of the Penal Code. The public prosecutor subsequently filed the case with the Criminal Court against {A

, the SEC filed the criminal complaint against her with the DSI for further criminal proceedings. In any case, filing a criminal complaint commences criminal justice administration whereby any person

Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to