200,000 to 500,000 baht and a further daily fine not exceeding 10,000 baht for every day during which the contravention continues. The SEC has therefore filed the criminal complaint against {X1} with the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

spot market, open trading accounts and trade through website www.goldexasia.com.  It was, however, found that there was no gold delivery while payments were not made in full for trading transactions

public as gold futures trading agents. They also advertised and solicited the investing public to open gold futures trading account and conduct trading transactions through the following websites

client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or

historical volume weighted average trading price of PB shares for the period of 30 business days commencing from June 29, 2018 to August 14, 2018, which is 1 day prior to notify SET news regarding the

Acquisition or Disposal”), whereby, this transaction results such company is no longer the Company’s subsidiary. The total maximum transaction value of such transactions calculated based on the total value of

investment value of $30 million or THB990 million approximately. According to the Notification of the Capital Market Supervisory Board No. TorJor 20/2551 Re: Rules on Entering into Material Transactions Deemed