securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order
., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official
Patunam Khonkaen Company Limited Patunam Khonkaen Company Limited offer for sale newly issued securities in the category of bill without having obtained an approval from the SEC Office. charge is
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
in order to stimulate the investor to invest in units; “underwriter” means a securities company of which license is allowed to underwrite units; “associated person” means any person having one of the
the inside information of NOBLE to Kongpat while knowing or possessing such inside information was deemed a violation of Section 242(2) in conjunction with Section 243(1), and liable to the penalties
STEC shares for her own benefit. She did sell 91,900 STEC shares on 19 January 2018 and benefited from the sale as well. Woraphant’s acts were deemed securities trading while knowing or possessing and
other security holders or creditors have claims that would be viewed as senior, as having priority, or otherwise limiting the rights of the debt securities holders to any payment on the debt securities. 2