Board, due to her failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 2/2026 Settlement Committee Order

2023 was later submitted through the transmission system of the SEC Office on March 4, 2024. SEC Act S.56(4) Settlement Committee Meeting No. 2/2026 Settlement Committee Order No. 33/2026 Dated 18/02

Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 2/2026

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

damage. Having considered the said fact, the jail term was therefore suspended for three years under Section 56 of the Penal Code.  In addition, the Court revoked the freeze order against Wichai?s assets

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested

SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently