-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
submitted a selling order for the first client?s investment units and deposited money obtained from the selling into a saving account she opened at Tisco Bank Plc., using the client?s signature that she had
Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office http://market.sec.or.th/public/idisc/en/Enforce Settlement
activities are liable to be an operation of digital asset exchange business under Section 3 of the Emergency Decree, for which XT .COM has not obtained a license, in violation of Section 26, and subject to
prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge. _____________________
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is
information he had obtained by virtue of his positions to sell SLC shares and for imparting a false statement with the intention to mislead any person concerning facts sensitive to the SLC share price