against the Securities Law. The Civil Sanction Committee, comprising Attorney-General as Chairman and capital market experts as members, considers whether a civil sanction is an appropriate legal proceeding
statements, if applicable, to the SEC and publicly disclosing such information through the SET Electronic Information System within 31 January 2018. The SEC has also urged PACE to expedite the proceeding to
will coordinate with related agencies for further proceeding.
to March 27, 2009, Maris, then ING Funds managing director and T.U. Dome fund manager, and Burim, also T.U. Dome fund manager at that time, had performed their duties dishonestly by proceeding for T.U
securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
. The SEC therefore filed the criminal complaint against both persons with the DSI for further legal proceeding. Consequently, they are automatically barred from serving as capital market personnel or as
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from the date of