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

)  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

Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction

PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished