Market Supervisory Board (the CMSB), who, by virtue of Section 143, Paragraph 1, of the Securities and Exchange Act B.E.2535 (1992) (SEA), passed a resolution for the company to rectify its operation

market business during the period he is prosecuted. In addition, the SEC investigated the Investment Committee of Solaris Asset Management Co., Ltd. in authorizing the mutual fund to invest in debt

King (TFAC), said: “TFAC is ready to collaborate with all related agencies to uphold the accountability of accounting professions and capital market.” Mr. Paisal Tarasansombat, Director, Thai Listed

model, the number of clients and the transaction volume;  4)    Rectifying the operation under the work system which promotes and maintains orderly market surveillance on the trading system

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee

securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without

trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or

for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg