securities for herself or others, (4) interferance with the client's asset by withdrawing and transfering the client's securities, and (5) breach of ethical and professional code of conduct prescribed by the

, and (5) breach of ethical and professional code of conduct prescribed by the Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment

perform her duty resulting in AEC?s violation of section 109 SEC Act S.283 Settlement Committee Meeting No. 4/2021 Settlement Committee Order No. 33/2021 Dated 18/08/2021

entires of revenues from sales in SINGHA 's 2007 financial statements in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The public prosecutor issued a prosecution

Thailand’s Electronic Information System which are in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.35 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 175/2022

Office (SEC) within January 24, 2022 (as specified by SEC). However, KTX prepare and submit the result of debenture sale report to the SEC on January 27, 2022 which is in violation of the Securities and

private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section

, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section

advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions

Mr. Ke Xiwei Mr. Ke Xiwei colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and