by Ms. Noppawan Suwan and Mr. Viroj Arnokkaeo, who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation. Such market manipulation was in violation
and the persons from (3) to (7) were in violation of Section 243(1) in conjunction with Section 244 and Section 243(2), and liable to the punishments under Section 296 of the Securities and Exchange Act
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
a breach of contract as an amount of Baht 94,474.27 and interest until the payment is fully made. Subsequently, on 5 September, 2018, Mr. Noppadol sold 2,000,000 TRUE shares by using such inside
in each mutual fund to comply with limitations on unitholding and let the Selling agentsexamine and report to the mutual fund management company where noncompliance with limitation on unitholding has
in each mutual fund to comply with limitations on unitholding and let the Selling agentsexamine and report to the mutual fund management company where noncompliance with limitation on unitholding has
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
the SEC website, in order for the SEC to conduct further in-dept investigations. Any activities liable to violation of laws enforced by the SEC may be subject to legal action, which could result in both
client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market
assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment