taking an unfair advantage of other persons in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992.In this case, the offender refused to enter
shares while {D}, as investor contact, had facilitated internet tradings through accounts of {A}, {B} and {C}. {A} and {D}, however, refused to enter the settlement process.Consequently, {D} is deemed to
offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to
was consequently liable to the penalties as prescribed in the first paragraph of Section 281/2 of the SEA. Since Nittimon had refused to enter the settlement process, the SEC filed the complaint with
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
Bangkok, March 22, 2013 - The SEC rejected to grant further extension of deadline for Thai Unique Coil Center Plc. (TUCC) to submit its rectified Q2 and Q3/2012 financial statements as well as 2012
} did not confirm the exact securities volumes and prices with his client. In addition, he sometimes sent trading orders and informed the client afterwards that the client has never objected or rejected
Bangkok, 8 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, has granted digital asset business licences to four applicants and rejected two
such sanction; however, they refused to pay the civil penalty. Consequently, the SEC forwarded the case for the public attorney to bring a further legal action in the Civil Court. In this regard, a
) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then