offences regarding market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more
performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai
operating digital asset business in the category of digital asset exchange without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66
No limitation of holdings: (1) Tax-exempted institutional investors operating as a Collective Investment Scheme (CIS) such as the Government Pension Fund, Social Security Fund, Provident Funds, and
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
accounting standards and the internal control environment. - Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in
. 171/2018 headlined “SEC imposes civil sanction against 40 offenders in AJD price manipulation case” issued on 27 December 2018SEC News No. 31/2019 headlined: “SEC requests the public prosecutor to bring
Prevention of Unfair https://www.sec.or.th/EN/Pages/LawandRegulations/Regulations.aspx English (United States) CivilPenalty Sanction is a recent enforcement power added by the Securities and Exchange Act (No