-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording
investors to invest in futures contracts or investment units and told them to transfer their money into her own bank account. The SEC findings showed that Hathaya had never used such money to invest in
Bangkok, November 30, 2011 - Following the investigation on {X1} Co., Ltd. in response to the evidences indicated that the company had operated unlicensed derivatives business, the SEC found that
investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from
Capital Public Company Limited ("1st defendant"), Mr. Yanakorn Warakunrak ("2nd defendant"), and Mr. Poonsak Chumchuay ("3rd defendant"), had committed an offense under the
2020. Moreover, the Appeal Court ordered the defendant to reimburse Appeal Court fees and attorney fees to the plaintiff.16/10/2019 The Civil Court delivered a judgement that the defendant had
and executives, they had denied the right of certain shareholders to attend the shareholders’ meeting and deprived other shareholders of their voting right at the meeting. The NMG directors and