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
, they can seek advice on IPO and listing requirements from financial advisors, auditors, the SET and the SEC. Participants obtained the SEC?s approval for going public within 2014 will be awarded a plate
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
conjunction with Section 83 of the Penal Code. The Civil Sanction Committee has resolved to authorize the SEC to initiate civil sanction proceedings against the 13 offenders, requiring each to pay civil penalty
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange