Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which
of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) the reviewed financial statements for Q3/2019 (2) the interim management discussion and analysis (“MD
and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q2/2020 (2) MD&A of Q2/2020 (3
) damages or interest paid by the fund as a result of https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-pvd.doc translate-spv.docx flow of receipts in accordance with the rules specified
paid by the fund as a result of https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-pvd.doc translate-spv.docx flow of receipts in accordance with the rules specified by the SEC
securities companies for specified periods, with the following details: (1) Pasita shall pay a civil penalty, a compensation in the amount equal to the benefits received and a reimbursement of investigative
executive in securities issuing companies or securities companies for specified periods, with the following details: (1) Penprapa shall pay a civil fine, a compensation in the amount equal to the benefit
risk adjustments, not less than the specified amount; (2) Net Capital Ratio (NCR), which is the ratio of NC to general liabilities (total liabilities and financial derivative liabilities minus special
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
the Civil Court for payment of the highest civil penalty specified by law and return of the benefits received from the commission of the offenses. Due to the Civil Sanction Committee’s imposition