to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
, violating Section 90 of the Securities and Exchange Act B.E.2535. The Criminal Court dismissed the case. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 31/07/2013
proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. The Criminal Court dismissed the case. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 31
N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003
Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions
violation of Section 16 of the Derivatives Act B.E.2546 (2003). This case is under consideration of the public prosecutor. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 25/06/2009