sentenced to imprisonment by the court's final judgment except in the cases where the term of imprisonment or the suspension of sentence has lapsed for a period of not less than 3 years in connection with the

the operation of such securities company, such person shall be liable to imprisonment for a term not exceeding six months or a fine not exceeding two hundred thousand baht, or both. SECTION 35 The

SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...

imprisonment or discharged of the probation for less than 3 years. In this regard, the aforementioned action has been proceeded only for the offences under the Securities and Exchange Act. 2535 (1992) , the

final judgment of a court regardless of whether the infliction of pubishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years. In this

receivership, being an insolvent, an incompetent or a quasi-incompetent person; 3 (b) having been sentenced to imprisonment by the court’s final judgment as a result of guilty in market abuses of securities or

20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...

or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment

infliction of punishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years: (a) the offences under section 289 in conjunction with section

imprisonment as a result of misconduct as specified in sub clause (3), regardless of whether suspension of the inflicting punishment or not, in case of a natural person. Clause 25 Any of the following cases is