to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH

its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on

misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed

safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by

prior to the registration of the security, and failing to adequately monitor and maintain the collateral for the bonds. SEC Act S.46 Settlement Committee Meeting No. 10/2025 Settlement Committee

order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s

contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr