16/1.16 17 A securities company shall get to know its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by

) Financial Institutions established under specific law which is a financial institution under the law on loan interest rate of financial institution. Clause 16/1.16 17 A securities company shall get to know

from the date of receiving notification from the company. It appears that Mrs. Phanna Chumbuathong received a notice from the company on June 27, 2019, but did not respond to the company within the

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, received an award plaque on behalf of the SEC, in recognition of the organization’s contribution to the network of support for children under

received or should have been received, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or

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

been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC

have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

information. The sanctions include a total payment of 19,339,187 baht (comprising civil penalty, compensation at an equal amount to the benefit received or should have been received, and reimbursement of