2023 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on February 29, 2024. However, the key financial ratio for

for WHAUP’s failure to prepare and submit the key financial ratio for the year 2023 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory

through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on February 29, 2024. However, the key financial ratio for the year

Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 2/2026

client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

damage. Having considered the said fact, the jail term was therefore suspended for three years under Section 56 of the Penal Code.  In addition, the Court revoked the freeze order against Wichai?s assets

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management