cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
with normal market conditions with a view to inducing the general public to trade such securities. The aforesaid actions of Shine and others were in contravention of Sections 243(1), (2) and 244 of the
executed trading orders of AMC shares through accounts of Somchai and another client by splitting trading orders. Their actions were deemed as sending inappropriate securities trading orders, in violation
jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in
been well-aware of this urgent agenda and therefore sought collaborative actions from all parties under the project ?Financial Literacy: Road to Thailand?s prosperity? to kick off the first financial
Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of
not an approved investor contact or a securities company executive at the moment. The SEC, therefore, recorded his actions for future reference and will not approve his position as capital market
on that person, the impacts in terms of damages or benefits arising, any rectifications or other actions that are beneficial or obstructive to the SEC’s proceedings, and any records or past demeanors
debt to equity ratio not exceeding 5:1, which will appear in the annual financial statements for 2025 and 2026; (5) Approving other actions related to the bond series, with
Re: Rules on entering into a connected transaction and the Notification of the Board of Directors of the Stock Exchange of Thailand Re : Disclosure of Information and Actions of Listed Company on