medical devices and equipment business, expanding the existing customer base and new customers and increase new products such as Early Warning Score Program (EWS): Program to warn and aware to protect

maturity/rating, a warning statement must be included to the effect that the structured notes in each issue have different levels of risk. A warning must be included to the effect that structured notes with

) has therefore resolved to impose civil sanctions** on the two offenders, comprising civil penalties, compensations in the amount equal to the benefit received or that would have been received

offenders, comprising civil penalties, compensations in the amount equal to the benefit received or would have been received, reimbursements of investigative expenses incurred by the SEC, and a bar from

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives

deviation Warning • Investments in the mutual fund are not deposits. • The mutual fund’s past performance does not guarantee future results. • Investors may not redeem units during the period of X months

The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General for Strategy and Planning, received the Best Conduct of Business Regulator in Asia

rendered a judgement in the Red Case No. Por. 5396/2562, wherein the defendant was required to pay (1) a civil penalty, 1.25 times the benefits that the defendant received or would have received from

Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin of the Friends in Need (of “PA

; - a compensation of the benefit received from committing the offense in an amount of 796,360.00 Baht     - a civil monetary penalty of 915,814.00 Baht SEC Act