Mr. Piriya Thawon Mr. Piriya Thawon aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. The Appeal Court
Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank
cause the price or the volume of such securities trading to be inconsistent with the normal market condition and caused damages to other investors. 15/12/2020 The Civil Court delivered the Appeal Court
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Seandar Inc. Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) operated derivatives business without obtaining license or registration
Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. SEC Act S.300 Settlement Committee
Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license
Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in
Mr. Huang Young Lin Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992