subject to an imprisonment from 2-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues. The SEC therefore
3 months, the suspension imposed by the SEC shall remain 6 months. Also, the SEC imposed 40-day suspension on the approval as securities investment consultants on {B} and {C}. The suspension of three
fine not exceeding ten thousand baht for every day during which the violation continues. The SEC therefore filed a criminal complaint with the ECD Police against these firms and the related persons. In
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
Exchange (SGX), who is of view that volatility closing price on such particular day was due to market?s low liquidity. SGX also investigated on the incident and decided to set additional measure where market
Ministry of Finance, with remaining time to maturity not more than one year. In addition, the companies must calculate the market prices of the invested instruments at least every business day to ensure that
inflicted the punishment of 8-month imprisonment and 2,666,666.67 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments, resulting in 4-month 40-day imprisonment and 1,777,777.78
the said OSCAR shares between UWC and TNP. On the day that UWC transferred OSCAR shares to TNP, TNP transferred OSCAR shares to the other party at the much higher price than TNP bought from UWC. It was