director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking

, rectifications or other acts that benefit or impede the SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business.In this

the penalties under Section 296 of the SEA, i.e., up to two years? imprisonment or a fine not exceeding twice the amount of the benefits received or should have been received but in any case no less

, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that

. Concerning the proposal for the ratification, SCAN audit committee (AC) has not yet given any opinion on appropriateness for ratifying the transactions. Meanwhile, independent financial advisor (IFA) was of

Sections 307, 308, 311, 312, 313 and 315 of the SEA as well as a violation of Section 89/7 liable to the penalty under Section 281/2 of the same Act, as the case may be.  Any person against whom the SEC

monitoring business operation of invested companies closely and actively enough to be able to detect any potential issue at an early stage. If an issue is found in an invested company, for example, the

Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment

intention to provide services to customers in public. In both cases, there was no information indicating that the purchase or sale orders were transmitted to any other digital asset exchange. Furthermore

based on the applied criteria; and (5) the approach to managing any potential risks. In addition, ACC has not yet submitted all relevant supporting documents for its clarification. Such information is