fails to comply with the Appeal Court’s judgement, SEC shall proceed with legal execution in accordance with the legal process in due course.”In any case, the civil penalty and the compensation for the

approval in due course,” added SEC Secretary-General.  _________________________ 

income from business operation due to the high interest rate of 14-15 percent per year according to the loan contract. Such facts caused the GL financial statements to be in contravention of Section 56 of

information and listed company executives? duty performance without due care, resulting in the total 31-million-baht civil penalty and the total 19.6-million-baht compensation for the equal amount of benefits

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

due course. In 2018, the SEC plans to review and streamline, when appropriate, approximately 250 types of applications to lessen the cost burdens of all parties.With respect to the issuance of new

SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators  through the use of principle-based regulations due to the fact that business

with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and

listed companies more funding flexibility while maintaining the ability to meet the targeted fund; and    3. Revise the market price calculations, which are inconsistent due to different criteria for

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in