without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a

will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s

wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as

prohibiting her from performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it

://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6507 SEC imposes civil sanction on eight offenders for insider trading of PTL shares from the date specified in the SEC letter to be issued to notify their possession

hundred thousand baht, or both. SECTION 299/2 Any person who contravenes or fails to comply with the court’s judgment or order which specifies a sanction in accordance with Section 297/1 (2) or (3) or

SEC Secretary-General Rapee Sucharitkul said that SEC has issued the notification relating to business operations of digital asset business operators under the royal decree on digital asset

freshfield 1 (Unofficial Translation)* ACT AMENDING ROYAL ENACTMENT ON SPECIAL PURPOSE JURISTIC PERSONS FOR SECURITIZATION B.E. 2540 (1997) B.E. 2558 (2015) Bhumibhol Adulyadej, Rex., Given on the

performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai

approval and to provide convenient contact and inquiry channels in accordance with the Royal Decree on Rules and Procedures for Good State Administration. More information on the licensing manual is