using material non- public information. She allowed Mr. Satja Janetumnugul to use her bank account and assisted in price settlement of such purchase for Mr. Satja Janetumnugul’s benefit. SEC Act S
executives of the company under Chapter 3/1 of the Securities and Exchange Act B.E. 2535. The proposed rules aim to achieve a better balance between compliance cost for listed firms and benefit of public
), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311
for their own benefit or others. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024
; - a compensation of the benefit received from committing the offense in an amount of 796,360.00 Baht - a civil monetary penalty of 915,814.00 Baht SEC Act
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the
restructuring or [iii] with the waiver rendered by the SEC Office depending on necessity and appropriateness and for the benefit of the applicant and shareholders as a whole; (5) in case an applicant is a listed
appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company
operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside