November in Singapore. The SEC engaged in various meetings and seminars, including discussions with representatives from the Monetary Authority of Singapore (MAS) to exchange knowledge, experiences, and

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among

keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such

(NMG), Electronics Industry Public Company Limited (EIC), and Tong Hua Holding Public Company Limited (TH), requiring them to pay a total, collective monetary civil sanctions of 33,677,137.50 baht

, Amornrat and Walailuk, requiring each person to pay a separate civil monetary penalty, the benefits received from committing the offenses and reimburse SEC’s investigation expenses in total amount of

Sanction Committee (CSC) has resolved to impose civil sanctions* on the two offenders above, requiring them to make payments for the civil monetary penalties and the reimbursements of investigative expenses

discussed issues of common interest among capital market regulators around the world namely, monetary policy and economic recovery in the post-COVID-19 world, establishment of cooperation among

Master’s Degree in Law and Diplomacy from Tufts University, and a Ph.D. in Economics from University of Pennsylvania, USA. Currently, he is also member of the Monetary Policy Committee and member of the

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาออนไลน์ในการประชุม “OMFIF Asia Forum” ซึ่งจัดโดย Official Monetary and Financial

follows :     - a civil monetary penalty of 500,000.00 Baht The SEC has banned Mr. Chatchaifrom holding the position of director or executive at any issuing or listed