compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. SEC
’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However
to arrest the alleged offender failed and the statute of limitations ran out. Fails to pay the fine within deadline set by the Criminal Fining Committee. SEC Act S.243 in conjunction with Section 83 of
prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. Fails to pay the fine within deadline set by
within deadline set by the Criminal Fining Committee. SEC Act S.Section 243 and Section 86 of Criminal Code Criminal Complaint Filed with an Inquiry Official Dated 14/07/2016
financial statements for Q1/2016 and (5) the reviewed financial statements for Q2/2016 to the SEC and the SET within the specified period. The public prosecutor issued a prosecution order against the accused
statements for Q2/2009 with SEC and the SET within specified period. The Court sentenced the accused to pay a fine of Baht 60,000. Since the accused pled guilty, the Court reduced the fines by half, resulting
year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged
year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an