Ms. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin at the Friends in Need (of “PA”) Fair 2023 in front of the
The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General for Strategy and Planning, received the Best Conduct of Business Regulator in Asia
rendered a judgement in the Red Case No. Por. 5396/2562, wherein the defendant was required to pay (1) a civil penalty, 1.25 times the benefits that the defendant received or would have received from
Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin of the Friends in Need (of “PA
benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor
; - a compensation of the benefit received from committing the offense in an amount of 796,360.00 Baht - a civil monetary penalty of 915,814.00 Baht SEC Act
compensation of the benefit received from committing the offense in an amount of 1,279,375.00 Baht - a civil monetary penalty of 1,112,500.00 Baht
the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of
) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this