PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to

were subject to civil sanctions under Section 296 of the SEA, as amended, too.   The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip

) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA.  The Civil Sanction Committee has resolved to authorize SEC to initiate civil

Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and

Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the

under Section 296 and Section 296/2 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions* on the three offenders above through the imposition of civil penalty, compensation at

Bangkok, 9 November 2017 ? The Civil Sanction Committee has imposed civil sanctions on four persons, namely (1) Mr. Surachai Suwanthanakul, (2) Mrs. Orthai Sae-tung, (3) Mr. Somsak Saravutwattanakorn

Royal Enactments Act and Royal Enactment SHARE : Detail Content ​​​​​​ ​Act/ Royal Enactment S ecurities and Exchange Act B.E. 2535 (1992) as amended​ ​ Derivatives Act B.E. 2546 (2003) as amended

specified in the notification of the SEC in relation to the following transactions: (1) the issuance of securities under the Securities and Exchange Act; (2) the securitization under the Royal Enactment on

) the securitization under the Royal Enactment on Special Purpose Juristic Persons for Securitization; (3) other transactions which are supportive or beneficial to capital market development. SECTION 5