assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement
for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the
benefit of customers. DAB Act S.94 in conjunction with 30 and 31 Settlement Committee Meeting No. 4/2026 Settlement Committee Order No. 8/2026 Dated 03/04/2026
or GLH benefited from these loans or any reasonable grounds to believe it was done for the benefit of GL and/or GLH businesses. SEC Act S.281/2 paragraph 2 in conjunction with 89/7 89/24 311 and
; - a compensation of the benefit received from committing the offense in an amount of 450,000.00 Baht - a civil monetary penalty of 517,500.00 Baht
form Inter Far East Wind International Co., Ltd. (IWIND), a subsidiary of IFEC, not for the benefit of the IFEC business. This case is in the process of inquiry by the inquiry official. SEC Act S.281
East Wind International Co., Ltd. (IWIND), a subsidiary of IFEC, not for the benefit of the IFEC business. This case is in the process of inquiry by the inquiry official. SEC Act S.281/2 paragraph 2
concerning the value of securities or the suitability of investing in those securities and managing funds of a person or group of persons to acquire benefit from securities in consideration of a fee or other
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through