were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
> Management of Mutual Fund > Additional rules for guaranteed funds Regulations SHARE : Detail Content Management of Mutual Fund 21. Additional rules for guaranteed funds (1) In an arrangement with a new
> Management of Mutual Fund > Additional rules for guaranteed funds Regulations SHARE : Detail Content Management of Mutual Fund 21. Additional rules for guaranteed funds (1) In an arrangement with a new
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and
Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
derivatives obligations; (6) efficient arrangement for the handling of complaints or disputes in connection with the derivatives trading on the derivatives exchange or in respect of the use of services provided
derivatives obligations; (6) efficient arrangement for the handling of complaints or disputes in connection with the derivatives trading on the derivatives exchange or in respect of the use of services provided
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