for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
contain provisions related to the use of a nominee account or allowing one?s trading account to be used as such in the commission of a market misconduct offense. (2) Civil Penalties: The civil penalty is
solicitation attracted investments from the public at a total amount of 10 million baht.Such misconduct of Marnfah Group and Lederer (Thailand) above was liable to public offering of securities in the category
. (FOCUS) share price during April 24-25, 2008. His offense is in violation of Section 243 (1), Section 244 and Section 243(2) of the Securities and Exchange Act of 1992 in conjunction with Section 86 of the
Information Transmission System. Such misconduct was in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992), which was effective at the
misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without license, which is a legal offense under Section 17 and Section 26 subject to the
customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as
has considered that Nattapong failed to perform duties with loyalty* by committing wrongful acts against the investors’ assets, which was an offense liable to revocation of approval as securities