everyday starting from the next day of prosecution date until the company so complies. Since the defendant pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a
transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period.
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
(UNOFFICIAL TRANSLATION) (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
(UNOFFICIAL TRANSLATION) (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
reduced the fines by half, resulting in a fine of Baht 209,250 and a further fine of Baht 1000 for everyday during which the contravention continued. SEC Act S.56 and 199 Criminal Complaint Filed with an
SEA allows non-executive persons of regulated entities to be an expert member in the SEC Board. On the contrary, expert members of the CMSB, which is responsible for issuing regulations governing daily
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day