person jointly operated securities business 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 289
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
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 289. This case is in the process of inquiry by the
Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E
with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90
Mr. Artit Suntawanic Mr. Artit Suntawanic alleged offenders in operating securities businesses and derivatives businesses of investment advisory without obtaining license from the SEC by using
for sale of newly issued securities in the category of debentures and bills without obtaining an approval from the SEC office resulted from the instructions or the failure to give instructions which is
for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC on 11 October, 2017. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting