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
decoration equipment from Budget Ltd. and New Tique Ltd. to conceal expenses. It led to decrease of loss in the financial statements for Q1-Q2/2003 of DAIDO. Such actions misled DAIDO’s shareholders or any
the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr