S D Global S D Global 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
Seandar Inc. Seandar Inc. (or Seandar) 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
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
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
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
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
Mr. Huang Young Lin Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
Mr. Tang Tia Julien Mr. Tang Tia Julien (or Tia Julien Tang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
Mr. Teh Cheng Huat Mr. Teh Cheng Huat (or Cheng Huat Teh) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992