pay a fine of 2,540,000 baht. The jail term, however, was suspended for three years.This follows the SEC?s criminal complaint filed with the Department of Special Investigation (DSI) on May 27, 2010
with the civil sanctions as imposed by the CSC. In the event that an offender refuses to give consent to the sanctions, the SEC will submit the case in writing to the public prosecutor for filing a
executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil
specified by the Civil Sanction Committee, and (5) prohibit the offender from trading securities on SET or securities trading center or entering into derivatives contracts on the Derivatives Exchange for
petition will be submitted to the Court seeking an order of a 2-million-baht civil penalty on each offender or 6 million baht in total in addition to the reimbursement of 102,132 baht for the investigative
Sanction Committee has resolved for the SEC to impose civil sanction on the seven offenders in the form of civil penalty, which was considered based on the benefit received by each offender. Porameth signed
) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then
comply with the civil sanctions. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing to the public prosecutor for filing a lawsuit in the
Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560**, as the case may be. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...