assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht:           1

executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil

consent to comply with the civil sanction.   In case any of the offenders refuses to comply with the civil sanction imposed by the Civil Sanction Committee, SEC will submit the case for the public

of the Criminal Code. The Civil Sanction Committee decided to impose civil sanction on both offenders, who subsequently made a statement of consent to the civil sanction and fully complied therewith

consent to the civil sanction and fully complied therewith, as follows: (1) Jajjai paid a civil penalty of 1,249,000 baht and a compensation of 999,200 baht for the received benefit, totaling 2,248,200 baht

penalty. All of them signed a statement of consent to the civil sanction. Sittichai and Tanika paid a civil penalty at an equal amount of 81.98 million baht, while the five accomplices paid 500,000 baht

Civil Sanction Consideration Committee by the time given, the SEC took the view that Mr. Suphanan did not consent to bring an end to the case at the SEC level. The SEC has therefore sent a letter to the

when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the

2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses

the conditions that the REIT has been granted approval from the REIT Unitholders’ Extraordinary Meeting in entering into the related transactions and executions and given consent by the Office of the