person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289

finance director, in seeking improper benefits from the rental and buy-back of advertising billboards. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.281/2

Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E

Narongdej reduced his shareholding below such trigger point, he then was exempted from the requirement to make a tender offer. SEC Act S.247 Settlement Committee Meeting No. 9/2017 Settlement

prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction

prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty

financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

prepare and submit the reviewed financial statements for Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to

submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly