Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
inaccurate accounts to deceive the others. Owing to the fact that Mr.Ratchasak made confession beneficial to the case, the Court reduced the punishments according to Section 78 of the Penal Code. Accordingly
distinct and different offences. The defendants were convicted according to Section 91 of the Penal Code. As defendants had made confession, which was beneficial to the case, the Court commuted the
as beneficial to the case, however, the Court reduced the punishment by half for each count to be 2 years and 6 months with a fine of B250,000 and B1,178,000,000, respectively. In conclusion, Suradej
beneficial to the case, the Court reduced the punishments according to Section 78 of the Penal Code. Accordingly, each jail term was reduced to five years and four months, making a total of 10 years and 8
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately owns the account, or has significant interests
business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately