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

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

transaction by acquiring shares in Thai British Security Printing Public Company Limited (“TBSP”) from Miss Sutida Mongkolsuthree (the “Seller”). Details of the transaction are presented as follows: Transaction

committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening

juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents.  In addition, SEC has prescribed a procedure for

Cambodia to issue cross-border securities offerings, through secondary listing or dual listing, which will benefit the businesses that are highly interconnected in the real sector. SEC Thailand and SECC also

region. Bond issuers will be enabled to raise funds through multi-jurisdictional offerings to non-retail investors with a standard filing form prepared in English language. Rapee Sucharitakul, SEC

underwriter to issue 4 consecutive quarterly research papers after the initial public offerings process to provide the public adequate and ongoing information for investment decision making. The SEC is seeking