with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90
> SEC Act (before the fifth amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/05/2017
amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/05/2017
; - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/06/2017
(before the fifth amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 20/07/2017
) Section 243 in conjunction with Section 83 of the Penal Code Civil Action Dated 31/10/2024
. SEC Act (the fifth amendment) Section 244/3 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) Civil Action Dated 00/00/0000
Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange