designated to report various transactions and as an enforcement agency against predicate offenses in the capital market. For cases involving violations of the Securities and Exchange Act, including stock

offender signs a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the Civil Court to seek an imposition of civil sanction with the

with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the Civil Court to seek an imposition of civil sanctions with the

twelve months, effective from 19 October 2023.*** In deliberating the imposition of administrative sanctions above, the SEC has taken into account the following factors, i.e. relevant roles and

under Section 296 and Section 296/2 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions* on the three offenders above through the imposition of civil penalty, compensation at

Section 57 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 5) B.E. 2559 (2016), and thus liable to the imposition of civil sanctions under Paragraph 2

1 (IC complex 1**) for 10 years, effective from 27 September 2023.***In deliberating the imposition of administrative sanctions above, the SEC has taken into account the following factors, i.e

oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance

offence under the Anti-Money Laundering Act B.E. 2542 (1999), including its amendments. Filing a criminal complaint by the SEC is only the beginning of the criminal enforcement process. As to whether the

guideline for consideration of any problematic issues which many arise from the enforcement of this Act.