imposed on an asset price appraisal. Due to their deficiencies above, {X1} Securities and {A} are deemed to have contravened the Notification of the SEC Office concerning Granting of Approval for Financial

management, (2) no restriction on type of investment property is imposed while investment overseas is allowed. In addition, up to 10% of total property can be invested in project under construction and (3

Bangkok, 13 December 2016 ? The Criminal Fining Committee has imposed a separate, equal fine, totaling at 5,917,125 baht, on five joint principals in the manipulation of the Yong Thai Public Company

Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s

revealed to the public are liable to criminal sanctions.  More severe penalties will be imposed in case the act is done with an aim to deceive investors or general public.  The SEC thus urges executives and

Securities International (Thailand) Plc.); and (3) {D}, then an employee of BFIT Co., Ltd. (presently OSK Securities (Thailand) Plc.). The sanctions imposed on these four persons took effect from April 20

employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital

considered.***   In determining the aforementioned period, the SEC has taken into account the following factors: relevant roles, behaviors of the person under consideration, any penalties already imposed

any 12-month period should be imposed, in addition to the investment limit of 300,000 baht per project per each retail investor originally proposed. While the concept of aggregate limit is in line with

imposed the civil monetary penalty in the first incident, which was an offense prior to the effective date of the Securities and Exchange Act (No. 5) B.E. 2559 (2016). As a result, Boonchai was deemed to