to the public prosecutor for filing a lawsuit in the Civil Court to seek the maximum applicable civil sanctions, which shall not be lower than those specified by the CSC. In all cases, the civil
. Simultaneously, the SEC reported the action undertaken for these two cases to the Anti-Money Laundering Office in order to consider and take further action. In addition, the criminal complaint by the SEC is
sanction imposed by the Civil Sanction Committee, the SEC will submit the cases for the public attorney to file a lawsuit with the Civil Court. The objectives of the lawsuit are to (1) impose a civil penalty
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
shall be in accordance with the specific rules prescribed under Clause 13/1; (4) cases other than (1) (2) and (3) shall be in accordance with Clause 15. Clause 12 Any transaction between a mutual fund
such person does not intend to renew an approval to be listed in the register of person qualified to be fund manager. In cases where the person obtained approval for renewal to be listed in the register
spike in cases of new variant in 2Q21 and still continue, as well as the issue on vaccine supplies. Our network capex remains between 25-30bn to ensure we invest for leadership both on network quality and
qualified to be fund manager. In cases where the person obtained approval for renewal to be listed in the register of person qualified to be fund manager requests for the letter showing the result of the
private fund shall be in accordance with the specific rules prescribed under Clause 13/1; (4) cases other than (1) (2) and (3) shall be in accordance with Clause 15. Clause 12 Any transaction between a