) B.E. 2559 (2016), on three counts. The Civil Sanction Committee has resolved to instruct the SEC to impose civil sanction on the three offenders, as follows: (1) Warot was subject to pay a civil penalty
suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities trading of the client’s account is an
In the case where it appears to the securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
instruct the SET to issue or amend its rules, or to act or omit to act, with a view to preventing damages. Securities Trading Center is another type of secondary market. Any company wishing to establish
derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a