breach of contract with the foreign software developer, including payment default.The JMT Audit Committee has acknowledgd the IFA?s opinion but still approved the Board of Directors? decision. The SEC has
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in order for the DSI to conduct further legal proceedings in the case of EARTH’s violation of the SEC’s order
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of
cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
potential change in the securities price is deemed to be taking an unfair advantage of other people. Such action is in violation of Section 241 and liable to the penalties under Section 296 of the Securities
price margin, causing damage to a large number of investors. The seven persons? offences were in violation of Section 243(1) in conjunction with Section 244 and Section 243(2) and liable to the