In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for

client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B

Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

, guidelines, service provider supervision, risk management, and business continuity measures.  However, outsourcing does not discharge business operators from responsibility in the outsourced activities

violation of Section 243 (2) and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992, i.e., imprisonment for a term not exceeding two years or a fine not exceeding twice the

who, at the age of 55 or older, resigns his or her post will be allowed to receive installment payments similar to the retired employee. Accordingly, such employee will not be required to withdraw the

deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets

concerning servicing digital assets and promotion of their services. They must not violate any laws or support illegal activities. If violations are found, the SEC will take legal enforcement action.” In

for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was deemed final. On April 10, 2018, the

fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was