. If any actions are found to be in violation of the laws enforced by the SEC, legal proceedings may be initiated, which could result in imprisonment and fines. In case of possible legal violations of
jurisdictions can submit the filing under ASEAN Disclosure Standards. In case of private placement to institutional and high net worth investors, they can submit single filing form in English version.In addition
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account
{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him
consultant and client in case of disputes or complaints as well as prevent problems resulted from such trading orders, thereby enhancing market confidence as a whole."
entitled to revenue sharing around 1,120 million baht.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that Sunthorn had attended the negotiations between SOLAR
shares, the SEC probed into the case and found that ?(1) From September 13 to November 16, 2006, Somchai Chaisrichawla had colluded with Chaninan Luangwaykin, then Senior Vice President Retail Sales 1 of