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 civil sanction imposed by the Civil Sanction Committee. It was then considered that the 40 offenders refused to extinguish the case with the SEC. Therefore, the SEC requested the public prosecutor to bring the case against all offenders for the Civil Court to impose the highest civil sanction...

civil sanctions on Surin.  However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee.  SEC, therefore, requests the public prosecutor in writing to file a

.  In addition, SEC requests that asset management companies notify SEC of the postponement or temporary suspension of contribution of employers and/or employees, and when the contribution is resumed. If

transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

transition 3. Bridges expectations from the Net Zero Company Benchmark, translating into engagement asks for emerging markets • Translation available in: • Simplified Chinese • Traditional Chinese • Japanese

to the timeframe when the SEC considers the inquired matters. Therefore, the SEC requests that the general public acknowledge this matter and beware of the limitations of such response letters. For

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH

derivative agent business and respond to investors? changing demands.  The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and

Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs