evidences, it is reasonable to believe that Mr. Suphan Sethapanich has obtained benefits from selling the bills of exchange (B/E). He, therefore, committed an offense with dishonest intent and obtained
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities
company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and
Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office http://market.sec.or.th/public/idisc/en/Enforce Settlement
activities are liable to be an operation of digital asset exchange business under Section 3 of the Emergency Decree, for which XT .COM has not obtained a license, in violation of Section 26, and subject to
prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is