system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse
Woraphant, Preeya and Sasipas whereby the three offenders must pay a separate civil penalty, compensate for the benefits received from committing the offenses and reimburse for the investigative expenses
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
offenders paid separate civil penalties, totaling 172.14 million baht. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further investigation, during 21 March 2014 - 3 June
Bangkok, 21 September 2016 ? The Criminal Fining Committee has imposed separate fines on three offenders involved in false statement and insider trading of Rasa Property Development Public Company
, Kodchaphon, Chukiat and Prabpol were fined at 56,261,554.95 baht each, while Prasian, Somchai, Sirikorn, and Somchit were subject to a separate fine of 37,507,703.30 baht each. In addition, Chalaem is banned
separate juristic person from the Stock Exchange of Thailand (SET), as recommended by the Ministry of Finance, and appointing the SET chairman as CMDF president, and the SET executive as CMDF manager. In
, and a separate fine of 333,333.33 baht on each of the other three persons for aidding and abetting in the case. Surasak and Ekkamon refused to enter the criminal fining process. The SEC, therefore
, TMB Asset Management Co., Ltd. and Tisco Asset Management Co., Ltd. are ready to accommodate PVD transfers to the existing RMFs as they have already put in place account segregation systems and separate