The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
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) 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