been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC

have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC

be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to

return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has

operators in the capital markets who plan to apply fintech must comply as follows: (1)    Set a policy on fintech application at board or executives level; (2)    Have personnel understand the basic

the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as

comply with rule preventing any person or group of persons from holding more than 1/3 of total investment units sold which has already been applicable to other types of mutual funds. In case where any

, in the aspect of investor protection, the proposed regulation requires that Thai listed company offering ESOP must comply with criteria for existing shareholder protection (i.e. dilution effect). In

affect POLAR investors and shareholders. In this regard, POLAR's failure to comply with the order of the SEC is liable to contravention of Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992

succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal