offense in an amount of 30,880.00 Baht - a civil monetary penalty of 500,000.00 Baht - a suspension of securities and derivatives trading
benefit received from committing the offense in an amount of 131,227.00 Baht - a civil monetary penalty of 2,000,000.00 Baht - a suspension
) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 1/2554 Re: Verification and Announcement of Qualified Units of Foreign ETF and Application for Allotment of Foreign ETF Units
. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
, public spending and tourism sector still expanded which resulted from low base in the previous year. (Source: BOT Press Release No.64/2019 on the Economic and Monetary Conditions for September and the
amount of Baht 13.4 million and Baht 23.9 million, respectively. Moreover, administrative expenses increase in this year due to recognize share based payment of Baht 61.2 million which are non-monetary
2019 was Baht 16.3 million, a decrease of Baht 118.8 million or 88% from the same period of last year since there were no recognition of non- monetary and non-recurring expenses i.e. share-based payment