2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client
30, 2013 that Mr. Sathit was the owner of ABC shares. Such action aided and abetted Mr. Sathit to violate section 247 and was to conceal that Mr.Sathit was the owner of ABC shares. SEC Act S.247 in
Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
filed in the name of Mr. Porameth Rungrongtanin and did not disclose that Mr. Sathit was the owner of ABC shares. SEC Act S.247 Settlement Committee Meeting No. 9/2018 Settlement Committee Order No
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
1000X Limited Since January 12, 2022, 1000X Limited ("1000X"), the owner of https://www.1000x.live ("1000x.live"), has provided services or held itself out to the public as
Mr. Prasong Suviwattanachai Mr. Prasong Suviwattanachai as the owner and beneficiary of 14 securities trading accounts of foreign juristic persons opened at UOB Kay Hian Private Ltd. and EFG Private
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of