244/3 (1)(2) in conjunction with Section 244/5 (4) of the Securities and Exchange Act B.E. 2535 (1992) (SEA), subject to the penalties under Section 296, Section 296/1, Section 296/2 and the civil

filing of a criminal complaint is just the commencement of the criminal proceedings, whereby the consideration of whether any person is guilty is subject to the inquiry official’s investigation, the public

Section 83 of the Criminal Code, subject to the penalties under Section 296 and Section 296/2, and the civil sanctions under Section 317/4 and Section 317/5, of the SEA. The Civil Sanction Committee (CSC

giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service

the effective revocation of its licenses, Zipmex retains its status as a limited company with corresponding rights, responsibilities and liabilities, including the possibility of being subject to

to perform the duties under Clause 23(1), subject to the prohibited characteristics of the personnel in the capital market business under Clauses 31(3) of the Notification of the Capital Market

. *** For example, a foreign CIS fund must be subject to regulatory standards regarding supervision, issuance and offering, and fund management applicable to retail funds in that country. Additionally, the

, they are subject to penalties under Section 300 in conjunction with Section 302/1 of the SEA. Consequently, the SEC has filed the criminal complaint against ETL and the nine associates.   Following the

shares, subject to the following conditions: (1) CIG must receive no less than 310 million baht from the RO; (2) Legal due diligence related to the OW investment transaction must be completed before the

duties to maintain the minimum net capital requirement by NC-1 method and failure to do so shall be subject to observing the following:    (1) Suspend all types of business operations until the minimum