shall include the securities and derivatives holding and changes thereof by nominees of the aforesaid persons. (Specify nominees’ report separately from the direct holding of the aforesaid persons). 2. ใน

sanctions, which must not be lower than those specified by the CSC.   In all cases, civil penalties and compensation for the benefits received or would have been received from committing offenses shall be

criminal complaint by the SEC is only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution

only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution of the public prosecutor

addition, there shall be investment products that are designed for investors of each generation. Other distinguished speakers from academic sector also presented research on capital market policy related

case of IFEC's investment money in a renewable energy project, as raised by investors, and other complaints; any person's act found to be liable to any offence under the SEA shall be subject to legal

and paid a fine in the amount of 500,000 baht as determined by the Settlement Committee on March 16, 2012. His case shall thus be regarded as settled under Section 317 of SEA.  The above complaint also

investor contacts were in violation of Clause 14(2) of the SEC Notification No. SorKhor 49/2009 Re: Approval for Investor Contacts, which stated that investor contact shall let investors make their own

for five days for the recent misconduct, the suspension imposed by the SEC shall remain for one month and twenty-five days, effective from May 1, 2013.  With regard to the {B} case, following investor

duty of investment analyst and investment consultant for three months. Taking into account that he has already been suspended by his employer for 14 days, the suspension imposed by the SEC shall