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

under Section 296 and Section 296/2 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions* on the three offenders above through the imposition of civil penalty, compensation at

Bangkok, 9 November 2017 ? The Civil Sanction Committee has imposed civil sanctions on four persons, namely (1) Mr. Surachai Suwanthanakul, (2) Mrs. Orthai Sae-tung, (3) Mr. Somsak Saravutwattanakorn

intention to join Collective Action Coalition against Corruption. All the aforesaid have led to concrete improvement in the aspect of corporate governance where Thailand obtained 82.83 out of 100 in CG ROSC

Earlier, the Civil Sanction Consideration Committee resolved to apply civil sanctions on Mr. Suphanan, an IFEC director and chief executive officer, and Mr. Thanawat Chansuwan, who was IFEC

Section 296/2 of the Securities and Exchange Act B.E. 2535 (1992), which was amended by the Securities and Exchange Act (No.5) B.E. 2559 (2016).The Civil Sanction Committee agreed with  SEC to enforce

administrative sanction​   (Tha i Version Only) ​ ORAP ​ Handbook  (Tha i Version Only) ​ ​ ​ ​ Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs ​ Sales Conduct Supervision

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

297 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit

Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit received or should have been received