SAMART TRAFFIC COMPANY LIMITED (SMT) SAMART TRAFFIC COMPANY LIMITED (SMT) offered for sale newly issued securities in the category of debentures and bills without obtaining an approval from the SEC
Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003
and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Seandar Inc. Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) operated derivatives business without obtaining license or registration
Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. SEC Act S.300 Settlement Committee
Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license
Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in