subject to an imprisonment from 2-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues. The SEC therefore
she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the
to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was subject to a criminal fine penalty. Given that the benefit he had received was lower than the minimum fine of
also received benefits from other relevant acts. His action was deemed a violation of Section 89/7 and subject to penalties prescribed in the second paragraph of Section 281/2, Section 307, Section 311
subject to a month suspension by Globlex Securities Company Limited, however, the suspension period shall remain one month; 2. Imposed two-month suspension on {B}, a securities investment consultant; and3
Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance of re-application for approval as capital market personnel for
have strong financial product knowledge. Moreover, financial product advertisements are subject to the regulations so the advertisements must not distract or lure the customers and cause misleading about
1 At JSP 60/11/02 10 November, 2017 Subject : Connected Transaction (Sale of Land), Invitation to Shareholders to propose agenda and nominee’s name for being the Director for the AGM’s Meeting in
Microsoft Word - MDA Q119 EN May 8, 2019 To President The Stock Exchange of Thailand Subject Notification on the difference of revenue from sales and net profit YOY by more than 20 percent Taokaenoi