, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
asset business operators shall seek approval from two authorized persons. In case of a withdrawal or transfer at an amount of 50 million baht or more, another independent authorized person is required to
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
operators and related persons as follows: (1) Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) and Matthew Christensen for operating unlicensed
} Securities Plc., as well as {D}, {E} and {F}, for manipulating RICH share price.With the referral from the Stock Exchange of Thailand on irregular trading in RICH shares by a group of persons from May 10 to
, the Amendments to the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997, and the laws governing the liberalization of securities businesses. The robust legal framework shall
Mr. Somchai Chaisrichawala From September 13 to November 16, 2006, Somchai Chaisrichawla colluded with other person, in using Somchai?s and other persons? securities trading accounts to continuously
Miss Chaninan Luangwaykin From September 13 to November 16, 2006, Miss Chaninan Luangwaykin colluded with Somchai Chaisrichawla in using Somchai?s and other persons? securities trading accounts to