S D Global S D Global 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
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
R. S. D. Steel Company Limited During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat
. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. This case is in the process of inquiry by the inquiry official. SEC Act S
. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. This case is in the process of inquiry by the inquiry official. SEC Act S
. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. This case is in the process of inquiry by the inquiry official. SEC Act S
. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. This case is in the process of inquiry by the inquiry official. SEC Act S