Section 90 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) which states that no person shall undertake securities business without license. Violator of Section 90 is subject to penalties under
-osoth, (2) Ms. Poramaporn Prasarttong-osoth, and (3) Mrs. Narumon Chainaknan. The offenders were subject to pay civil penalties at the total amount of 499.45 million baht. In addition, they will be banned
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
), which were in force at the time of offence commission. In addition, such act is currently deemed an offence under Section 242 and subject to the punishments under Section 296 and Section 296/2 of the
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
Section 241 and the punishments under Section 296 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Currently, such act is deemed an offence under Section 242 and subject to the punishments under
rebalance the customers’ portfolio to attain the customers’ goal subject to the specified framework. A business operator who is interested in providing the wealth advice service and qualified in accordance
, whereby the consideration of whether any person is guilty is subject to the inquiry official’s investigation, the public prosecutor’s prosecution, and the court’s adjudication, respectively. Taking action
the SEC website, in order for the SEC to conduct further in-dept investigations. Any activities liable to violation of laws enforced by the SEC may be subject to legal action, which could result in both