have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC

investigative expenses incurred by the SEC), refused to comply with the specified civil sanctions, which was deemed unwillingness to settle the case with the SEC at this stage. The SEC, therefore, has requested

instructed JAS to rectify those financial statements by recognizing the provision based on the best estimate of the expenditure required to settle the present obligation by taking into account factors such as

had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

Collective Investment Scheme for non-retail investors (NRI CIS)  ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS)  Asia Region Funds Passport (ARFP)  Foreign ETF Sales Report Form

region of Thailand). The donation was presented by Mr. Thaneadpon Thanaboonyawat, Secretary to the Minister of Social Development and Human Security, at the Vieng Ping Children's Home in Chiang Mai

held from 26 February to 1 March 2024 in Hong Kong Special Administrative Region (SAR).Thai SEC Secretary-General joined the panel on “Intersection of Fintech and AI in Wealth Management” in the SFC

Indonesia, Malaysia, the Philippines, Singapore, and Thailand - as well as representatives from regulatory bodies from other countries, including delegates from the Hong Kong Special Administrative Region of

ASEAN Capital Markets Forum (ACMF), which seeks to promote capital market development and the sharing of regulatory expertise within the region. The study visit is expected to benefit the supervisory