only within the units or departments providing services under regulatory sandbox : (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4
units or departments providing services under regulatory sandbox: (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4) securities underwriting
regulatory sandbox : (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a
regulatory sandbox: (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a
securities business in the category of securities brokerage, securities dealing or underwriting of investment units, trust certificates of trust having the similar characteristics as mutual fund or any other
, investors or capital market, the SEC Office may determine to submit thereof within the business day when such matter has been occurred; (b) in case of matters other than sub clause (a), the SEC Office shall
the fines by half, resulting in a fine of Baht 194,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. SEC Act S.56(4
250 each day starting from the next day of the prosecution date until the company so complies. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 08/08/2014