period specified in the notification of the Capital Market Supervisory Board. The public prosecutor ordered a non-prosecution order. SEC Act S.246 and 247 Criminal Complaint Filed with an Inquiry
shares inconsistent with the normal market condition, to lure the public into the trading. He entered the settlement process but failed to pay the fine as ordered by Settlement Committee. The public
reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period. The Criminal Court ordered the defendant to pay a fine of Baht 60,000 and a further fine of Baht 500 for each and
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
ordered the defendant to pay a fine of Baht 383,500. Since the defendant pleaded guilty, the Court reduced the fines one-third, resulting in a fine of Baht 255,668 and a further fine of Baht 250 for each
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope