Q3/2015 within the specified period. The Criminal Court sentenced the accused to pay a total fine of Baht 1,126,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution
reviewed financial statements for Q3/2016 to the SEC and the SET within the specified period. The Criminal Court ordered the defendant to pay a fine of Baht 80,000 and a further fine of Baht 1,000 for each
and the SET within specified period. The Criminal Court sentenced the accused to pay a total fine of Baht 589,500 and a further fine of Baht 500 each day starting from the next day of prosecution date
financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The Criminal Court sentenced the accused to pay a fine of Baht 40,000 and
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
Derivatives Act B.E.2546. The Bangkok South Criminal Court fined the accused of Baht 40,000. As the accused confessed, the fine was reduced by half to a fine of Baht 20,000. DV Act S.16 Criminal Complaint
period. The Criminal Court sentenced the accused to pay a fine of Baht 632,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 286,000. SEC Act S.56 and
penalty prescribed for each offence as follows: (1) For a count of failure to submit the audited financial statements for the year 2012, the Court sentenced the accused to pay a fine of 20,000 Baht and a
) MD&A of Q1/2020 (7) the annual registration statement for the year 2019 (Form 56-1) (8) the annual report for the year 2019 (Form 56-2). The Criminal Court sentenced the accused to pay a fine of
as collateral for securities trading of any person; (6) allowing any person to receive benefits or oversee payments related to or because of one’s own securities trading; or (7) transferring or