the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
(2) of the Securities and Exchange Act B.E. 2535 (1992) in conjunction with Section 83 of the Penal Code. As the 9 persons named above agreed to enter the settlement procedure, the Settlement Committee
. As the said four alleged offenders declined to enter the settlement procedure, the SEC therefore filed the criminal complaint against them with the DSI for further legal proceedings. In any case, the
penalties under Section 296 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter the settlement procedure, the Settlement Committee imposed fines on Choavalit
actions, as aider and abettor, were in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter the settlement procedure, the Settlement
Nor. 22/2552 Re: Establishment of Mutual Fund and Execution of Agreement for Management of Private Fund dated 28 July 2009; “ provident fund ” means a provident fund under the law governing provident
Office of the Securities and Exchange Commission No. Sor Nor. 22/2552 Re: Establishment of Mutual Fund and Execution of Agreement for Management of Private Fund dated 28 July 2009; “provident fund” means a
measure for such procedure, if necessary. 5.2 The board of directors and executives set suitable indicators for performance appraisal, incentives and rewards with regard to code of conduct, and the
and procedure as stipulated by the Notification of the SEC Office. An application submitting under Paragraph 1 shall be jointly prepared by a financial advisor whose name appears on the SEC Office’s