were in contravention of Section 315 of the SEA in conjunction with Sections 307, 308, 311, and 312 of the SEA. SEC Act S.315 Criminal Complaint Filed with an Inquiry Official Dated 18/07/2013

appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick

to be able to operate the investment advisory service business efficiently that violate section 115 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick shall be liable for the

) (SEA) in conjunction with Section 83 of the Penal Code. Komgrich as aider or abettor was also named in the complaint for violating Section 312 in conjunction with Section 315 of the SEA. On December 29

Exchange Act B.E. 2535 (1992) (SEA) and the imposition of the statute of limitations for criminal cases on civil lawsuits in order to enforce civil sanctions under Section 317/13 of the SEA are not contrary

liable to the offenses under the Securities and Exchange Act B.E. 2535 (1992)(SEA), as summarized below:   1. Concealing material facts regarding the interim dividend payment before the IPO, which should

? 23 July 2014 before the company disclosed the Q2 operating results via the SET. Assavin?s offence was in violation of Section 241 of the Securities and Exchange Act of 1992 (SEA) and liable to the

Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital

Act B.E. 2535 (1992) (SEA) and thus liable to penalties under Section 296 of the said Act. Yanyong and Ziriwat?s actions, as accomplices, were in violation of Section 241 of the SEA and thus subject to

Securities and Exchange Act 1992 (SEA). Under the SEA, other than shareholders? approval, ADAM board of directors has the duty to comply with the Act which prescribes that acquisition or disposal of