penalties under Section 296 of the Act in conjunction with Section 86 of the Criminal Code. Both persons agreed to enter the settlement procedure. The Settlement Committee imposed a respective fine of 500,000
procedure to replace the performance of the audit committee because there is less possibility of damage to the customers and requirement of the audit committee may cause unnecessary burden on the business
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
the mediation but the SEC will remain facilitating negotiation between securities and derivatives companies and clients. The procedure for handling any objections filed by securities and derivatives
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
with Section 83 of the Penal Code. As they all agreed to enter into the settlement procedure, the Settlement Committee imposed a fine of 1,074,121.25 baht on Sermkirt and a fine of 500,000 baht on
orders and payment. The said actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee
said actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee therefore imposed fines on {A
violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee fined {A} 2,580,211.77 baht, {B} 2,948,813.46 baht and