. "securities brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration
as specified by the Minister upon recommendation of the SEC. "securities brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of
a fine penalty not exceeding one hundred thousand baht.” SECTION 38 The following provision shall be added as Section 302/1 of the Securities and Exchange Act B.E. 2535: “SECTION 302/1 Any person who
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
enter into an agreement or match the order, in the normal course of business, excluding the center or network in the manner as specified in the notification of the SEC. “digital asset broker” means a
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB
exchange imposes penalty of fine on them. “member” under the first paragraph means member of the Stock Exchange or the derivatives exchange, as the case may by. Clause 26 The provisions under Clause 25 shall
appropriately. The provision under Paragraph 1 shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. 6 Amended by the Notification of the Capital
violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance of duties under this Act shall be in accordance with the rules specified in
SEC Office shall have the duty to disclose information relating to any violation and penalty imposed on the violators under this Act. The disclosure of any other information obtained in the performance