securities business pursuant to the Securities and Exchange Act of 1992. His action was in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
accounts. The acts of {A} {B} and {C} were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the
. The act of {A} was in violation of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code. The acts
rules. Bee was earlier found purchasing EIC shares through the Stock Exchange of Thailand (SET) at a price higher than the tender offer price. His action resulted in a violation of the tender offer rules
derivatives trading or guilty of deception, fraud or dishonesty, or having been fined for such violations; (c) having been named in any complaint relating to violation under sub clause (b) by financial
violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall be in accordance with the rules specified in