months. Having considered that he had already been suspended by Maybank Kim Eng Securities Plc., for 1 month and 4 days, the period of acceptance of his re-application shall remain 2 years 9 months and 26

to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was subject to a criminal fine penalty. Given that the benefit he had received was lower than the minimum fine of

and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such

was consequently liable to the penalties as prescribed in the first paragraph of Section 281/2 of the SEA.  Since Nittimon had refused to enter the settlement process, the SEC filed the complaint with

of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was

, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment.  In so doing, they solicited and invited persons who wanted to invest in

to 500,000 baht, plus a daily fine of 10,000 baht until the period of violation ends.In addition, Global Consultant publicly advertised that the company had a team of experienced and expert investment

customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person

consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been

by a group of persons during July 21 - August 20, 2008, the SEC probed into the case and found that {A} {B} {C} {D} {E} and four other accomplices had colluded to trade UKEM shares through seven