period. The Criminal Court sentenced the accused to pay a fine of Baht 632,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 286,000. SEC Act S.56 and

Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should have

Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should

audited financial statements for the year 2012, the Court sentenced the accused to pay a fine of 20,000 Baht and a further fine of 200 Baht each day during which the contravention continued (174 days

supplementing the decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon

investment returns for clients, including through adopting of a Statement of Corporate Values. 2.1.3 Employing knowledgeable and capable staff and implementing an employee compen- sation architecture

-Translation- No. ECF2 044/2561 3 December 2018 Subject: Notification of the resolutions of the Board of Directors’ Meeting approving the investment in purchasing the ordinary shares of S-TREK (Thailand) Co., Ltd., capital increase, and the issuance and allocation of the newly issued ordinary shares to the specific person under the private placement basis, and the schedule for Extraordinary General Meeting No. 1/2019 To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum...

of knowledgeable and competent personnel. The firm should immediately identify and resolve the issues. The evaluation result in the year 2016 suggest that the firms with low turnover rate will have

derivatives exchange shall pay the SEC Office Baht 2,000,000 annual fee for business undertaking within 31 January of every year except the first year of license, the licensee shall pay fee on effective date of

penalty prescribed for each offence as follows: (1) For a count of failure to submit the audited financial statements for the year 2012, the Court sentenced the accused to pay a fine of 20,000 Baht and a