investigative expenses incurred by the SEC), refused to comply with the specified civil sanctions, which was deemed unwillingness to settle the case with the SEC at this stage. The SEC, therefore, has requested

result, their actions were in violation of Section 246 and Section 247 of the Securities and Exchange Act of 1992, in conjunction with Section 83 of the Penal Code. The three offenders refused to enter the

three offenders refused to enter the criminal fining process. The SEC, therefore, filed the criminal complaint with the ECD Police for further legal proceedings. This case is under consideration of the

result, their actions were in violation of Section 246 and Section 247 of the Securities and Exchange Act of 1992, in conjunction with Section 83 of the Penal Code. The three offenders refused to enter the

Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the

3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected.  According to a report from Thailand Securities Institute

other three (Mr. Thanaris Pornpattanajamsai, Miss Audcharapron Radchanajun, and Mr. Saksumit Samornpitakul) refused to give consent to the civil sanctions. Consequently, it is deemed that the three

case may be). In this regard, 10 of the offenders agreed to comply with the civil sanctions imposed by the CSC. However, Mr. Chanon Wangtal and Mr. Natpapat Keschaimongkol refused to do so. It is thus

The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty