had committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for being a director who acted to obtain falsified accounts or
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
. Teetiphun Theppadungporn's directorship. Given such circumstances, the SEC views that an immediate arrangement of a shareholders? meeting to appoint new directors is imperative. The SEC has thus instructed
Section 3 of the Penal Code. The Court inflicted the punishment of 1 year imprisonment and 1,00,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 6
), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course
information to trade securities for his own and others? benefits in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section 296 of the
dividend payment from IT Q4/2012 operational result. The aforesaid action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section
Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section 296 of the Act. The Settlement Committee therefore imposed a 2,820,000 baht fine on Ratanachai.
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has