conditions different from the provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox, and that the service user’s consent is
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty
by the total value of consideration equivalent is 14.57%, calculated by the net tangible assets method according to the consolidated financial statements of the Company as of September 30, 2018 and
persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office will
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
inquiry official against 558 offenders. Additionally, civil sanctions have been imposed in 62 cases against 246 offenders. These offenders gave written consent to comply with the civil sanctions imposed by