fine of Baht 30,000 and a further fine of Baht 1,000 each day starting from the judgment date until the company so complies. SEC Act S.300 in conjunction with 56(1)(2)(3)(4) and 199 Criminal Complaint

date (27 December 2018) until the date of completing the full payment – to SEC, the plaintiff.12/11/2019 The Civil Court has a judgment to dismiss the case.27/12/2018 filed a lawsuit to a

to allow investors to make informed investment decision. As fact sheet is considered part of the registration statement, investors will be entitled to take legal action against DW issuer if it contains

issuer, SET or SEC to allow investors to make informed investment decision. As fact sheet is considered part of the registration statement, investors will be entitled to take legal action against DW issuer

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed

securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as

explanation from the company directors in order to make a prudent decision on their voting. The SEC requires that any material acquisition and disposal of assets subject to the shareholders? approval must have

investors? decision making. The SEC therefore instructed CHEWA and RHB to clarify the information given in the interview and include it along with sufficient details in the IPO filing for the benefit of

successful performance of any trigger fund may proceed only after accurate and complete information on all of the trigger funds under management is clearly disclosed for investors? comparison and decision