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period of 12 months; The prohibition periods for the offenders serving as director or executive will commence on the dates when the offenders sign letters of consent, agreeing to comply
the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give consent to the sanctions, the SEC will submit the cases in writing to
as director or executive for 18 months. The civil sanctions, as imposed by the CSC, will take effect when the offenders sign the letters of consent, agreeing to comply with the civil sanctions. In the
การกระจายอำนาจอนุมัติ หลักการมอบอำนาจลงนามแบบหลายบุคคล (multi-sign) และหลักการตรวจสอบถ่วงดุล โดยการถอนหรือโอนเงินตั้งแต่ 2 ล้านบาท แต่ไม่ถึง 50 ล้านบาท ผู้ประกอบธุรกิจต้องจัดให้มีผู้มีอำนาจลงนามอนุมัติ
of any securities issuing company or securities company for 26 months, 9 months and 12 months, respectively. The banning period shall begin from the date when the offenders sign the letter of
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a
when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
ACMF has made yet another big progress today.? The SEC Thailand is delighted to be able to be among the first three jurisdictions that sign this MOU.? This indicates our determination to bring efficiency