with the SEC directly in harmony with the requirements imposed on other types of bonds. The key points of the proposed amendments to the relevant regulations are as follows:   (1) To streamline the

, breaching the regulations of the Stock Exchange of Thailand and consequently being imposed upon by the organization?s punitive orders. Efficient internal control and stringent compliance units of

. As a result, they are not allowed to hold the positions of director and executive of any company whose securities are listed on the Stock Exchange, as from the date of being imposed with the criminal

against non-financial institution loans including a review system, communication with staff in monitoring this matter, and penalty to be imposed on staff if found engaging in such loans and report to the

Bangkok, December 4, 2007 ? The Settlement Committee appointed by the Minister of Finance under Section 317 of the Securities and Exchange Act of 1992 (SEA) imposed fines on Boonchai Chaiteerath for

Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint

those failing to comply with the law may be imposed with legal action.”  On 2 July 2021, the SEC filed a criminal complaint against Binance,* a foreign digital asset business operator, for providing

, suspension and revocation of approval, will be imposed. However, since the GPF is not under the SEC?s supervision, examination into the case must be conducted within the organization in which their internal

his employer for 3 months, the suspension imposed by the SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical