without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
prohibiting her from 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
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6507 SEC imposes civil sanction on eight offenders for insider trading of PTL shares from the date specified in the SEC letter to be issued to notify their possession
therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
Governance of Publicly Traded Company - Definition (Section 89/1) - Qualifications and the removal of directors and executives (Section 89/3 - 89/6) - Duty and responsibility of directors and executives (Section 89/7 - 89/14) - Shareholders’ rights under Chapter 3/1 (Section 89/26, 89/28, 89/30) - Shareholder’s right to bring a derivative action and a private lawsuit against directors and executives (Section 89/18 - 89/20) - Criminal liability of directors and executives (Section 281/2, 281/3, 2...
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