company for 5 years, and as major shareholder of derivatives business operator for 10 years.   Due to the deficiencies in duty performance of Mr. King, SKFM was subject to violation of Section 117

investor contact should not support, instruct or cooperate with any person to act in violation of law on securities and exchange and regulations. The SEC, therefore, suspends {A} from performing duties as

own and others and thus interfered with client's assets. The actions of the two former investor contacts were in violation of Clause 14(1) and 14(2) of the SEC Notification No. SorKhor 49/2552 Re

liable to collusion to commit a fraud and failure to perform duties with responsibility, discretion and integrity. NMG subsequently suffered damage from their violation or failure to perform duties

violation of Section 287 of the SEA, the SEC therefore filed a complaint with the Department of Special Investigation (DSI) for further legal proceedings in conjunction with the ongoing cases of former SECC

cooperating under the framework of the bilateral MOU for cooperation signed in 2005 to prevent and suppress commission of offenses in violation of the Securities Law and other laws related to the capital market

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 2/2022 Settlement Committee Order No. 44/2022 Dated 28/02/2022

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2022 Settlement Committee Order No. 70/2022 Dated 05/05/2022

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2023 Settlement Committee Order No. 53/2023 Dated 18/05/2023

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2023 Settlement Committee Order No. 51/2023 Dated 18/05/2023