and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company’s violation of section 56. SEC Act
program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement
effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in a publicly traded company can be bought, sold, or transferred. An equity share
may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA
office which is in breach of the Securities and Exchange Act B.E. 2535, resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in
กรณีเกินอัตราส่วนโดยไม่ได้เกิดจากการลงทุนเพิ่ม (“passive breach”) ให้สามารถทำได้ในทางปฏิบัติ และมีความยืดหยุ่นมากยิ่งขึ้น ตามที่สำนักงานได้รับประเด็นจากสมาคมบริษัทจัดการลงทุน 2
or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years
perform her duty resulting in AEC?s violation of section 109 SEC Act S.283 Settlement Committee Meeting No. 4/2021 Settlement Committee Order No. 33/2021 Dated 18/08/2021
entires of revenues from sales in SINGHA 's 2007 financial statements in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The public prosecutor issued a prosecution
were sentenced to a six-month imprisonment and a fine of 200,000 baht for the violation which occurred during January 2 - August 17, 1992 and a one-year and six-month imprisonment and a fine of 500,000