approval: - the severity of the offence, - the impact on the capital market, - the evidence that may be used for establishing the guilt, and - the worthiness of imposing such penalties. Civil Sanction is
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of
that is no system to control short position transaction underlying with SET50 index http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 38/2024 Dated 13/05/2024 control the
Executive Officer who is responsible for the operation of Siamese Asset Public Company Limited (“SA”), shall be liable for SA offer for sale http://market.sec.or.th/public/idisc/en/Enforce
securities http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business. Later, the company took
Company Limited (“VI”)), a securities http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business
operation of AQ ESTATE Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 2/2017 Dated 18/01/2017 Mr
Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting
Order No. 55/2023 Dated 18/05/2023 UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is