including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. SEC Act S.Section 57(6) Settlement
securities via her nominees' securities accounts but failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market
company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.ngm-trading.com to lure the investing public
as well as disseminated related investment documents and information through various channels including website www.famarkets.com to lure the investing public into their businesses. The aforesaid act
Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period
failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mrs. Chantip later filed the report
his holding of SVI securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board
nominee's securities account but failed to prepare and disclose report on change in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board