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securities business in the category of securities brokerage, securities dealing or securities underwriting, and (2) a person licensed to undertake the derivatives business in the category of derivatives agent
in the Departmental Level State Agency Category. The SEC is committed to leveraging digital technology to continuously enhance services and operational efficiency under the principle of providing
{A} from the duty as the approved securities investment consultant for 4 months, effective from April 23, 2015. As the suspension was deemed as the 2nd category of prohibited characteristics of
Limited (“CCSP”), shall be liable for CCSP's offering for sale of newly issued securities in the category of promissory note between 19 July 2018 to 30 October 2020, without approval from the SEC
Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration
Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP
to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the
investment contract expires. Such aforesaid conduct of Marnfah Group was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of the Securities and