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
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
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
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
conveying the client's consent to assign the private fund management company to arrange such matter. 1.3 The private fund management company shall invest according to the client's instructions, provided that
of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No https://publish.sec.or.th/nrs/3584pe.doc 8264p.doc audit firm, hereby certify and consent to the