accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities
was in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code. She agreed to enter the fining process. The Criminal Fining Committee fined her 333,333.33 baht
companies? asset as specified in the financial statement must be at a maximum of 2 billion baht as of the application date. The SMEs Bond project runs from September 1 to December 28, 2012. Submission of
statistics, debt instrument issuance was used to raise fund in a great number; for instance, long-term bonds issued by listed companies accounted for almost 500 billion baht. Study on investor behaviors and
POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company?s
baht (except for private placement of up to 10 B/Es at any time) and must have a warning that such B/E is not entitled to protection of the Deposit Protection Agency. To limit investment risks, B/E must
of 10 million baht (except for private placement of up to 10 B/Es at any time) and must have a warning that such B/E is not entitled to protection of the Deposit Protection Agency. To limit investment
. Her misconduct caused damages to the client in the total amount of 389,622.60 baht. Sareerat has fully paid compensation for the damages to the client. The SEC has considered that Sareerat’s acts
repayment terms for SNW231A, SNW224A, and SNW233A bond series, with a total outstanding principal amount of 497.5 million baht; - Granting an exemption from an event of default under the