Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr
ABC shares. 13/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 57,967,544.09 Baht
ABC shares. 07/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 500,000.00 Baht
. 11/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 500,000.00 Baht SEC Act
. 11/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 500,000.00 Baht SEC Act
ABC shares. 12/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 500,000.00 Baht
ABC shares. 12/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 2,827,046.21 Baht