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

perform duties with responsibility and prudence as a professional under the relevant Notification of the Capital Market Supervisory Board.*  The SEC has therefore imposed the following sentences

Exchange Act (No. 5) B.E. 2559 (2016), the Civil Sanction Committee imposed the prohibition period of 10 years on each of the three offenders.  In case any of the offenders refuses to comply with the civil

Bangkok, December 23, 2015 - According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three

Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three

an alleged person, a witness or expert witness. Division 2 Determination of Administrative Sanction Clause 14. In considering an administrative sanction to be imposed on an alleged person regardless of