the aforementioned information learnt from her position of TUCC chief finance officer. Yongyuth and Vorapin?s actions were in violation of Section 241 which is subject to sanctions under Section 296 of
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
would be required to ensure that there is a separate securities account for each UBO and register for authentication with the BOT or proceed with any other actions for the BOT’s acknowledgement of the
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities
{X1} Company shares in his own securities trading account by using the aforementioned information learnt during his directorship in {X1} Company. {A} and {B}'s actions were in violation of Section 241
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for
undertaking of digital asset business without license, subject to the offenses under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018). The SEC is in consideration for taking further actions
shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
ปฏิบัติ WEPs Principles to Actions” โดยมี นางสาวจอมขวัญ คงสกุล รองเลขาธิการ ก.ล.ต นางสาวอาลิยา เอล-ยะซีร์ ผู้อำนวยการสำนักงาน UN Women ประจำภูมิภาคเอเชียและแปซิฟิก และนางสาวเพ็ญศรี สุธีรศานต์ ที่ปรึกษาสมาคม