cancellation and take legal action against those involved in the transactions.
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging the clients’ handwriting, subscription orders and switch orders or unitholders’ account books...
novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation
aforementioned assets. Moreover, the backgrounds surrounding NUSA’s petition for the Court’s revocation of the share swap contract with WEH shareholders remained unclear, with anticipated potential impacts on NUSA
(2018), the SEC Board has proposed that Minister of Finance consider revocation of the digital asset exchange license of Huobi. In addition, the SEC Board, by virtue of Section 35 Paragraph 2 of the
paragraph one hereof shall submit a copy of letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such
letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such letter. Clause 7. This Notification shall
Bangkok, October 15, 2008 ? The SEC imposed administrative sanctions on three investor contacts whose misconducts and respective penalties are as follows: 1. Preeyanuch Anuvongkul (revocation
the revocation of the license to the revoked registrar in writing. In this regard, the revoked registrar shall notify the securities issuer of the revocation in writing, and shall arrange the delivery