personnel. The said actions of both executives were in violation of Section 283 of the SEA, which was the result of the company committing an offence under Section 113 of the same Act. The SEC shall
committing an offence under Section 113 of the same Act. The SEC shall forward the case to the Settlement Committee to consider fine penalties, and if they refuse to enter the settlement process, the SEC shall
doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money
with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures
KYC/CDD process that the client is involved with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making
alleged person is considered committing a violation, [the authority] shall determine and order an imposition of administrative sanction. The SEC Office shall notify the alleged person of the result of
for benefits received or that should have been received from committing offenses shall be remitted to the Ministry of Finance as public revenue. Remark: * Section 317/1 of the Securities and
instigator or an abettor, etc.; (5) the complicated nature of the act or the tool used in committing such act, such as using a disguised name of other person or establishing a company for concealment, etc.; (6
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing of Prohibited Characteristics Clause 32 In case a person possessing the