Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange Act B.E
shares through Ziriwat?s securities trading account. Their actions were considered as taking an advantage over other investors due to their use of non-public information on Pulto LNG Project value where
(Oldest) DRAFT director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent
), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course
In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
follows due process of law, including collaboration with relevant agencies. In the case of STARK, upon learning of the news, we communicated with DSI our readiness to extend further collaboration, by
, then TIES Chief Executive Officer, had been aware of the non-public information that the operating results for the second quarter of 2014 contained a significant loss, half of which was due to the
Section 241 and the punishments under Section 296 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Currently, such act is deemed an offence under Section 242 and subject to the punishments under
the third quarter of 2019, which recorded a significant increase in net earnings due to the income of medical service fees based on risk burdens from the Social Security Office, which was higher than