prohibiting her from performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it
performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai
.Thai Juristic Persons Thai Juristic Persons 543,892.51 1.Short-term Debt Securities Short-term Debt Securities 327,830.07 1.Thai Investors Thai Investors 327,780.07 Institutions 257,599.59 High Net Worth
1 Thai Juristic Persons By Thai Juristic 543,842.49 1.Short-term Debt Securities Short-term 327,780.06 Public Offerings 800.00 Institutions / High Net Worth Investors 262,656.39 Private Placements
Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should have
Earlier, the Civil Sanction Committee had resolved to impose a civil sanction on the three offenders who were subject to pay a separate civil penalty and compensate for the benefits that should
Bangkok, 12 October 2017 ? The SEC discloses the latest updates on the civil sanction statistics since the means of enforcement became effective on 12 December 2016, with the total of 21 natural and
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to
from 16 February 2018. Clause 2 In the application forms and the registration statement as prescribed in this Notification: “institutional investor”, “ultra-high net worth investor” and “high net worth
suspension period ends in two years, five months and seven days. In considering the appropriate administrative sanction, the SEC takes into account the following factors: the involvement and behavior of the