to suspect the reliability, accuracy or completeness of the information or documents given by a client, the intermediary shall review and update such information without delay by taking the following
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
US Asvance Co.,Ltd. US Asvance Co.,Ltd. jointly with other alleged persons, operated derivatives broker businesses in Thailand without proper licenses granted, violating Section 16 of the
procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
Family Corporation Company Limited Between August 11, 2017 and August 5, 2020 Family Corporation Company Limited offered for sale newly issued securities in the category of promissory note without
Mr. Soonthorn Boonnueng Mr. Soonthorn Boonnueng as the Director responsible for the operation of Bill Trade Co.,Ltd operated securities brokerage businesses without proper licenses granted
invest in securities, in Thailand under the name of " Gulf Pacific Asset Management Ltd." without proper licenses granted, violating Section 90. The public prosecutor issued a prosecution order
securities, in Thailand under the name of " Gulf Pacific Asset Management Ltd." without proper licenses granted, violating Section 90. The public prosecutor issued a prosecution order; however
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such