SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
for investment in securities and derivatives. The said actions were done under the name ?Nateethong? through the web blog: URL http://nateethong.bloggang.com. Due to the fact that Yuttana was neither
money laundering in order to enhance public confidence. This effort is undertaken through the integration of investigative processes among relevant authorities, enabling enforcement actions to be
addition, Exmix solicited and promoted the use of its services through the aforementioned websites via social media channels in the Thai language.Such Exmix’s actions are deemed to be the operation of a
, whereby such actions must not be a change of material details or conditions approved by the shareholders meeting. In addition, if it appears that the Company is unable to dispose of any or all of the assets
memorandum pursuant to Schedule 2 of the Notification of the Capital Market Supervisory Board No. TorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
specified in the Licensing Manual for the Public and that the submission of the cancellation of SEC Account is part of the actions according to the SEC Office’s Standard Procedures. The SEC Office is obliged
recent times, the SEC has streamlined the internal processes for greater efficiency and speed, resulting in tangible results. Since the beginning of this year, legal actions have been enforced in 15 cases
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the