, 2006 to August 14, 2006. 2. AJF Asset Management Co., Ltd. operated with a defective credit review process. The Settlement Committee, therefore, imposed penalty fine of 323,437.50 baht. The

violating the SEC Notification No. SorKhor. 15/2548 Regarding the Approval of Investor Contacts and Standards of Conduct Dated 21 June 2005 and imposed a three-month suspension on another investor contact by

criminal offenses under the law shall be deemed the offenses whereby civil sanctions may be imposed on the offenders. Details of civil sanctions and associated procedures are available at: https

. However, to enhance investor protection, the SEC Board has imposed on new branch openers a requirement of complaint handling system for dispute settlement with aggrieved customers. Those who have

fee imposed on retail and non-retail investors was proposed in an attempt to address the issue of unfair competition in the business. Currently, certain securities firms use brokerage fee income earned

the existing rule-based approach, in which regulations imposed on market practitioners are quite detailed and prescriptive, the SEC is moving towards a principle-based approach, in which only regulatory

existing rule-based approach, in which regulations imposed on market practitioners are quite detailed and prescriptive, the SEC is moving towards a principle-based approach, in which regulatory intention and

expression of audit opinion. Based on the above findings, the following criminal and administrative sanctions were imposed:1. Criminal sanctions: Somchai?s non-compliance with the auditing standards is a

with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the

Bangkok, 6 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Jajjai Dhammarungruang and Ms. Benjamas Dhammarungruang, for using inside information to sell shares of