company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal
.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital
procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s
LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
Miss Keswarang Sawatdipan Miss Keswarang Sawatdipan dishonestly deceived the investors by asserting false statements to make invetors believe that she was licensed to operate a derivatives business
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited, a company licensed Securities Brokerage Dealing and Underwriting: Investment Units, failed to
licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. This case is in the process