. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered
CRA Code to their satisfaction, and to react accordingly. In developing their own codes of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary
contribute from rising number of flights landed at Suvarnabhumi airport, together with new airline customers they engaged during the period. Besides, the increasing of revenue was from dividend received and
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
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