offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to
was consequently liable to the penalties as prescribed in the first paragraph of Section 281/2 of the SEA. Since Nittimon had refused to enter the settlement process, the SEC filed the complaint with
} had informed the client the trading results via email while RHB OSK Securities (Thailand) Plc. had sent trading transaction confirmations, statements of cash, collateral settlement, and credit balance
violations by means of settlement process.
Securities and Exchange Act of 1992 in conjunction with Sections 86 of the Criminal Code. The five offenders had expressed their initial intention to enter settlement procedure, but later failed to do so
(settlement date) ก็คือวันที่ลูกค้าส่งคำสั่งเพื่อปิดสัญญา (Settle Sell or Settle Buy order) แม้ในสัญญา คู่สัญญามิได้ตกลงกันว่าจะทำการส่งมอบสินค้ากันในวันใดแต่ถ้าพยานหลักฐานแสดงให้เห็นว่าจะส่งมอบกันในอนาคต
settlement. On November 13, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 86 of the Penal Code regarding METRO and TUCC shares
of the Securities and Exchange Act whereby the SEC had informed Mr. Suphan Sethapanich to accept the fine settlement but he did not agree to do so. The SEC, therefore, filed the criminal complaint
Date) กรณีที่ 1 เม่ือถึงวันครบกำหนดอายุของธุรกรรม (Scheduled Settlement Date) และไม่เกิดเหตุการณ์ที่ มีผลต่อการชําระราคาและการส่งมอบหุ้นกู้อ้างอิง (Reference Bonds) ก่อนวันครบกำหนดอายุของธุรกรรม คู่สัญญา
to repayment which may affect clearing and settlement system for capital market products . Division 3 Product due diligence exercised by an intermediary _____________________________ Clause 41 An