securities issuing companies or securities companies for a period of 28 or 60 months (as the case may be). While one offender agreed to comply with the sanctions imposed by the CSC, the other 13, namely (1) Mr
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
facilitate public offering of passpart funds under the agreed framework of the Asia Region Funds Passport (ARFP). 2. For more information on ARFP, please visit http://fundspassport.apec.org/ 3. For more
the penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). They all agreed to enter the criminal fining process.Consequently, Somporn was fined at the amount of 612,500 baht
addition, BROOK Audit Committee (AC) agreed with IFA that the average purchase price for MAC shares is materially higher than the adjusted book value and it is uncertain for BROOK to receive distribution
Section 296 and Section 296/2, as well as civil sanctions under Section 317/1, Section 317/4 and Section 317/5 of the Securities and Exchange Act (No. 5) B.E. 2559 (2016).Ravi agreed to the civil sanction
, and Patra agreed to enter the settlement procedure. The Settlement Committee, therefore, imposed a fine of B5,363,120.64, B1,296,010.44, B3,723,416.40 and B333,333.33 on the four of them, respectively.
raise awareness among employers, both in public and private sectors.In designing the Project, the SEC worked with the Thai Listed Companies Association and agreed that promotion of financial literacy in
APU shares. Therefore, UPA proposes the proposal for approval from shareholders? meeting to decrease such purchase proportion of APU shares to not more than 75%. The UPA Board of Directors agreed that
violation to Section 241 of the SEA in conjunction with Section 86 of the Penal Code. All of the six individuals above had agreed to enter the settlement process. The Settlement Committee consequently fined