not been licensed to operate securities business. Thus, PFS jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities
investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he
of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business
EMM Consulting Company Limited EMM Consulting Company Limited ("EMM"), represented by company directors Mr. Alan Sydney Roy Lane and Miss Ratanaporn Aoonta, had not been licensed to operate
Limited has not paid the fine. The case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 06/09/2016
of crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for
crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for the