person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the
Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E
after receiving SEC approval. So far, there has not yet been any who obtained an SEC approval to become ICO portals and for digital token sale. Therefore, those who make infringement will be regarded as
substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form
action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308
, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307