SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
for investment in securities and derivatives. The said actions were done under the name ?Nateethong? through the web blog: URL http://nateethong.bloggang.com. Due to the fact that Yuttana was neither
specified in the Licensing Manual for the Public and that the submission of the cancellation of SEC Account is part of the actions according to the SEC Office’s Standard Procedures. The SEC Office is obliged
recent times, the SEC has streamlined the internal processes for greater efficiency and speed, resulting in tangible results. Since the beginning of this year, legal actions have been enforced in 15 cases
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the
measures cover actions like blocking new mule accounts, detecting irregular customer behaviors, and inspecting and taking action against digital asset trading accounts that may constitute mule accounts
to the Anti-money Laundering Office (AMLO) for consideration of actions within their authority as the offenses in this case constitute predicate offenses under the Anti-Money Laundering Act B.E. 2542
Office (AMLO) for further consideration of actions under their authority as the offenses related to unfair securities trading constitute a predicate offense under the Anti-Money Laundering Act B.E. 2542
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________