-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become the property of the SEC Office

baht (consisting of civil monetary penalties, compensations for the benefits received or would have been received, and the reimbursements of investigative expenses incurred by the SEC) and prohibiting

total amount of 28,223,311 baht (comprising civil penalties, compensations in the amount equal to the benefits received or would have been received and reimbursements of investigative expenses incurred by

compensation for losses resulting from incorrect pricing to the mutual fund or affected parties in an amount greater than the actual loss incurred. For example, compensating in consideration of opportunity cost

include:-       Adjusting the investment unit value to reflect the costs incurred from selling or buying assets in the fund portfolio,-       Charging additional fees from the buyer/seller of investment

(a civil penalty and a reimbursement of investigative expenses incurred by the SEC), and a bar from serving as directors or executives in securities issuing companies or securities companies for a

on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving

the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

to avoid impact incurred from a decline in the price of DCON's share before DCON disclosed such information to the Stock Exchange of Thailand (SET) on 23 February 2017 at 9.13 p.m. and 9.20 p.m