underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
comparing with the year 2016 increased from THB 87.98 million to THB 155.63 million or increased THB 72.65 million or 87.55% due to writing off the account receivable from the Management expenses Bad debt and
offenders aforementioned do not consent to settle the case with the SEC. Therefore, the SEC has submitted the case in writing to the public prosecutor for filing lawsuits in the Civil Court against the three
considered that both offenders do not consent to settle the case at the SEC level. Therefore, the SEC has submitted the case in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
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
sanctions determined by the Civil Sanction Committee, the SEC therefore requested the public prosecutor in writing to file a lawsuit against {A} in the Civil Court, pressing for civil sanctions with the