Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
.? _________________________ *The Notifications of the Capital Market Supervisory Board regarding Rules on Capital Market Personnel relevant to these cases are: (a) Panita violated Clause 20(1) and Clause 20(2) of the
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
activities on various platforms. A total of 202 accounts have been reported, with 192 on Facebook, 1 on Instagram, and 9 on LINE (as of 30 November 2023). Upon receiving these tips, the SEC coordinated with
aimed to establish a mechanism that increases opportunities for women to be selected as corporate board members. Those women who have completed the DCP training course will have their names listed on the
securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
The SEC’s order was issued after IFEC announcement on 14 August 2018 via the Stock Exchange of Thailand that the company would hold a board of directors meeting on 22 August 2018 to discuss the