The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and

297 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit

Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit received or should have been received

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

     - a reimbursement of investigative expenses in an amount of 35,361.00 Baht 06/05/2568 agreed to comply with civil sanctions determined by the Civil Sanction

to comply with civil sanctions determined by the Civil Sanction Committee as follows : - a civil penalty in an amount of 500,000 Baht - a reimbursement of investigative expenses in an amount of

Schemes to Non-retail Investors, with authority to impose sanction to or order the CIS operator of such ASEAN collective investment scheme to act or refrain from acting in case where the action may cause

greater efficiency in work processes, control and systematic risk management, in compliance with related international standards and the Bank of Thailand’s policies and best practices. 9 3. Business

)  The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC