information related to trading which shall cover at least the following matters: (a) procedure and method for trading of the securities trading center and the ranking and matching of trading orders; 6 (b) types
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
investment proportion prescribed by such law, rule or regulation. (7) Procedure and method of refunding subscription money, both in case of insufficient units for subscription and unit allocation less than
resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected financial position of the mutual fund to be
resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected financial position of the mutual fund to be
least the following matters: (1) the raising capital of the REIT has to be proceeded by the REIT manager; (2) objective for raising capital; (3) procedure for raising capital which is in accordance with
. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended
procedure and method set. Clause 22.26 A securities company shall not trade securities by using the account of a client for another client whom is not the account owner. Clause 22/1.27 In undertaking of