jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case
long-term returns. Thus, EMM operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions
provided for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining
for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining license
. Thus, she jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting