take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
approved transactions and prevented risks to the fund. In addition, Maris inappropriately approved a fund payment and such amount of money was transferred to Burim without any reasonable ground to support
were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
announced the “No Gift Policy” for 2026, prohibiting the acceptance of gifts or gratuities of any kind in the course of official duties, to all SEC personnel at every level, and emphasized strict adherence
shareholders and whose directors must not possess any prohibited characteristics under Clause 5 of the Ministerial Regulation issued pursuant to Section 27 of the Emergency Decree on Digital Asset Businesses
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
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the
; - a civil monetary penalty of 10,002,960.00 Baht The SEC has banned Mr. Suraphong from holding the position of director or executive at any issuing or listed companies for 2 years and 6
1,366,085.00 Baht The SEC has banned Mr. Thanasit from holding the position of director or executive at any issuing or listed companies for 1 year. SEC Act (before the fifth amendment) Section 241