procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems
Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used
adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343
S D Global S D Global 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
Mr. Witoon Suriyawanakul During June 29, 2012 - August 23, 2012, Mr. Witoon Suriyawanakul purchased 8,022,881 ordinary shares and 3,500,700 warrants of Siam Global House Public Company Limited
warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking
Mr. Apilas Suriyavanakul During August 6 - 15, 2012, Mr. Apilas Suriyavanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 1,677,881 ordinary shares of Siam Global House Public Company