in the subsequent processes after the complaint filing to support law enforcement under the SEA.__________________________Remarks:* The company’s name at the time of the wrongdoing, which was later

proceeding, the SEC will bring an action against the alleged offender in the Civil Court. However, before filing a civil case, the alleged offender may agree to enter into a settlement agreement under the

replaced the first two notifications above. (b) Nitchawan violated Clause 23(1) and Clause 23(2) regarding prohibited characteristics of capital market personnel under Clause 31(1) of the Notification No

and paid a fine in the amount of 500,000 baht as determined by the Settlement Committee on March 16, 2012. His case shall thus be regarded as settled under Section 317 of SEA.  The above complaint also

Kuala Lumpur, The ASEAN Capital Markets Forum (ACMF) today endorsed key initiatives to be implemented in 2017 under the ACMF Action Plan 2016-2020 that aims to create investment and business

disclosed at www.sec.or.th. _____________________________   Notes:1. Institutional investors include:  (1) Asset managers under the SEC's supervision, e.g., asset management companies, private funds and

, and {B}, as manager, for such contravention which is liable under Section 125 of the same Act. Any persons who suffered damage from the company's illegal operation are encouraged to contact the ECD

and shareholders under the current circumstances, but with an observation on:- Taking into consideration shareholding structure of AM after the completion of all transactions, AM will be a 40 percent

Section 244 and Section 243(2) of the SEA and Section 86 of the Penal Code. After filing the complaint, however, the SEC was informed by the DSI that Adirek agreed to enter the settlement process under the

investment relatively to quality of such instrument or financial institution. Under the revised rule, the fund will be allowed to invest not exceeding five percent of net asset value in deposit or instruments