clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that
an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to
making ADAM dishonestly purchased the whole ordinary shares of Kitha in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
Earlier, the SEC ordered CMO to arrange a special audit and report the results thereof by 23 November 2023.* However, CMO requested an extension of the reporting deadline to 3 January 2024 because EY
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as