As part of its review of the definition of major shareholder applicable to derivatives business operators required to obtain approval, the SEC aims to ensure that the definition appropriately reflects ultimate controlling persons and enables such operators to maintain credible major shareholders, as well as to ensure consistency in the supervision of businesses under the SEC’s oversight. In this regard, the SEC conducted a public hearing on the aforementioned principles during January–Feb...

companies for 1 year. SEC Act (before the fifth amendment) Section 241 Civil Action Dated 24/05/2017

executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017

an amount of 299,250.00 Baht     - a civil monetary penalty of 500,000.00 Baht SEC Act (before the fifth amendment) Section 241 Civil Action Dated 16/06/2017

Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017

> SEC Act (before the fifth amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/05/2017

amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/05/2017

>     - a civil monetary penalty of 1,265,000.00 Baht SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the Penal Code Civil Action Dated 16

Penal Code Civil Action Dated 16/06/2017

> SEC Act (the fifth amendment) Section 241 Civil Action Dated 12/06/2017