) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. SEC Act S.301 Criminal Complaint Filed with an Inquiry Official Dated 09/03/2004

Mr. Robert Edward Jowett Mr. Robert Edward Jowett as the director responsible for the operation of Data Resources Asia Co., Ltd. violated Section 301. The public prosecutor issued a prosecution order

Ms. Sa-ngiam Pimkotr Ms. Sa-ngiam Pimkotr failed to comply with the competent officer's order to testify. The Pathumwan District Court sentenced the accused to three-month imprisonment and a

Ms. Somboon Pangphet Ms. Somboon Pangphet failed to comply with the competent officer's order to testify. The Pathumwan District Court sentenced the accused to three-month imprisonment and a

. The public prosecutor issued a non-prosecution order. The case was deemed final. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009

Mr. Chusak Ruentip Mr. Chusak Ruentip failed to comply with the competent officer's order. The Court sentenced the accused to 15-day imprisonment and a fine of Baht 2,000. The jail term, however

of the Derivatives Act B.E.2546 (2003). The public prosecutor issued a non-prosecution order. The case was deemed final. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 23/06

Act B.E.2546 (2003). The public prosecutor issued a non-prosecution order. The case was deemed final. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 23/06/2010

Section 16 of the Derivatives Act B.E.2546 (2003). The public prosecutor issued a non-prosecution order. The case was deemed final. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 23