dividend payment from IT Q4/2012 operational result. The aforesaid action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has
suspended the determination of punishment for 2 years and sentenced the defendant a fine of Baht 300 for each day starting from July 25, 2015 until the defendant reduces the holding of KC shares to the number
guidelines would not impose excessive burdens on audit firms and auditors and would specify penalty alternatives that focus on appropriate proportionality of punishment to offense. The consultation paper
Checklist คุณสมบัติตามเกณฑ์ share swap
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices
for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices. In case of absent of the branch office manager under the first
; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices