Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse
conjunction with Section 244(3) and subject to the penalties under Section 296 and Section 296/2 of the said Act. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction on
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
securities has complied with the rules regarding the application for approval to offer for sale of newly issued shares or the filing of the registration statement and draft prospectus; 13 (4) to educate
sector should play a supervisory role to prevent threats to privacy and educate people for awareness of this issue. Thailand has the law governing personal information and businesses must receive
oversight procedures are consistent. The MOU also prioritizes information sharing for mutual best interest. The signatories aim to support human resource development in the financial sector and educate
businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister.Mr. Pichit Akrathit, Chairman of the SEC Board, said: “Capital market
Observations Associated risks Recommendations • Manual pertaining to the rotation of key audit partners is not sufficiently detailed, for example: - Not explicitly instruct that the time-on period of acting as
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to