. ----------------------------------- According to the Securities Exchange Act of 1992, a person in the violation of Section 307, 311,312(1)(2)(3) and 313 shall be liable to imprisonment of 5 years but not exceeding 10 years. The sentence will be
; although the customer had never invested in a mutual fund before and could not afford to lose the principal, {A} allocated almost half of the customer's total assets in a mutual fund of a higher risk level
the SEA, i.e., imprisonment for up to two years or a fine not exceeding twice the amount of the benefits received or should have been received but not less than the minimum amount of 500,000 baht, or
B.E. 2535 (1992) (SEA). He earlier agreed to enter the settlement procedure; but later declined to do so. The criminal case has not been regarded as settled. As a result, the SEC has to file the
, eventually.?It took the team over 8 months to analyze environment and financial behaviors of the Thais in preparation of this Project. From the data collected, it was clear that the Thais have not emphasized
clients showed trading transactions made on a continual basis and in high volume but the source of orders was not found. Besides, {A} persuaded the clients to trade securities where he was the one
the securities companies have not yet conducted securities research (full report) of such securities. The ASCO's regulation will be effective on June 1, 2013. The company report will contain useful data
the securities companies have not yet conducted securities research (full report) of such securities. The ASCO?s regulation will be effective on June 1, 2013. The company report will contain useful data
and a further fine not exceeding 10,000 baht for every day during which the violation continues. Also, the violation was subject to an imprisonment up to three years or a fine not exceeding 300,000 baht