or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues.The SEC therefore filed a criminal complaint with the ECD

doubtful transactions with business alliances and shares dilution in Million Miles, then its subsidiary. MILL did not exercise its subscription right to purchase Million Miles capital increase shares

addition, the SEC revoked his status as an approved capital market investment consultant for using client securities trading account to trade securities for himself; as well as will not consider his

. Earlier, he had arranged for ZMICO to invest in shares of a listed company at the price not exceeding 20 baht per share which was very much higher than the market price at that time. He subsequently

a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that

specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the

extraordinary general meeting no. 1/2013 on May 30, 2013. Nevertheless, the company?s independent financial advisor (IFA) recommends the shareholders not approve this transaction, reasoning that it is not

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

operators and disseminate information on benefits of the Thai capital market to be seen as a source for fund raising which is not less important and attractive than loans from financial institutions. This

ให้สำนักงาน ก.ล.ต. สารบัญ หน้า 1. ข้อมูลเกี่ยวกับสำนักงานสอบบัญชี 1 2. กิจการที่อยู่ในเครือเดียวกันกับสำนักงานสอบบัญชี (network firm) 3 3. การจัดการภายในสำนักงานสอบบัญชี 3 4. ผลการตรวจสอบระบบการควบคุม