strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
gained the benefit were dishonest duty performance, as specified under Section 89/7 and Paragraph 2 of Section 281/2 of the SEA. The public prosecutor decided not to pursue the case in court and the case
Issuing Company’s Director and Executive Database of the company. In addition, I here by give my permission to the SEC Office to inspect my personal information relevant to consideration of the SEC Office
unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
Suppression Division of the Royal Thai Police for offenses liable to be unlicensed digital asset business operations under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) to pursue legal
wish to pursue. In such case, the paid license fee will be calculated as a discount for the new license fee. Financial institutions established under specific law are also eligible for License E and PF
provided by the Monetary Authority of Singapore (MAS) and Securities and Futures Commission, Hong Kong (SFC) in gathering relevant facts and evidence which consequently help the SEC to pursue legal action on
of 500,000 Baht each. In this regard, the SEC will also pursue administrative action in relation to capital market personnel against Chaninan in this matter.Information contained in this news release