., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies.  Evidence indicated that she had performed her duty dishonestly in order to obtain

suspicious transactions, as well as issue an order to seize or freeze any assets relating to the offenses under such Act. Furthermore, under the Counter-Terrorism Financing Act, the above reporting entities

Secretary-General said that ?The SEC foresees the importance of collaboration among independent audit regulators around the globe in order to share their common inspection findings, especially in the group of

trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital

the period of ten years. Owing to the fact that Nakul?s approval as fund manager was expired and he has not been in the capital market business recently, instead of imposing revocation order, the SEC

for their decision making since the directors and executives are obliged to provide information and opinion on appropriateness of the transactions, with due care and honesty in order to protect benefits

(settlement date) ก็คือวันที่ลูกค้าส่งคำสั่งเพื่อปิดสัญญา (Settle Sell or Settle Buy order) แม้ในสัญญา คู่สัญญามิได้ตกลงกันว่าจะทำการส่งมอบสินค้ากันในวันใดแต่ถ้าพยานหลักฐานแสดงให้เห็นว่าจะส่งมอบกันในอนาคต

order or an action which results in the offence that the company offered digital tokens to the public without an approval from the SEC Office. The Court of Appeal adjudicated that the defendant was guilty

Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Yanakorn was liable to the civil sanctions

Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Poonsak was liable to the civil sanctions