collaborating with the SET to monitor and examine this case. Any activity found liable to be an offense under the SEA will be subject to legal proceedings as deemed appropriate. Remarks:- Acquisition of shares
against the five executives and another accessory with the DSI for further actions. The complaint, in effect, has disqualified the CIRKIT executives as executives of securities issuing companies under
. However, to enhance investor protection, the SEC Board has imposed on new branch openers a requirement of complaint handling system for dispute settlement with aggrieved customers. Those who have
million baht loan granted by Krung Thai Bank Plc. ("KTB") to the M Group Plc. ("TMG"), the company of which Sondhi is a shareholder. Entering into the loan guarantee agreement with KTB without seeking
defaults of payment, for them to have sufficient information to proceed to the next procedures more quickly.SEC has also closely following up with the operation of credit rating agencies, as well as
make it more in line with the cash position of the fund/trust by permitting additional items such as overdue receivables from rent and services to be adjusted to the net income of the fund before
to seek benefits for themselves, which was deemed failure to perform duties or provide services with loyalty pursuant to the Notification of the Capital Market Supervisory Board.*The SEC has revoked
are still employed to continue contributing to the fund with or without the employer’s contribution; and 5. Supervision: e.g., specifying the standards for fund registration regulations and guidelines
with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the
Exchange Act (No. 5) B.E. 2559 (2016). As to Benjamas, her assistance for Jajjai to commit the offence was itself an offence liable to the punishments under the said provisions in conjunction with Section 86