conjunction with Section 244(3) and subject to the penalties under Section 296 and Section 296/2 of the said Act. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction on
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
investor contact should not support, instruct or cooperate with any person to act in violation of law on securities and exchange and regulations. The SEC, therefore, suspends {A} from performing duties as
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
performance of a management company; or a management company is unable to continue to meet the criteria set (Translation) Page 3 of 3 out under Clause 5, the Office shall have the power to instruct the branch
under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide