EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 19/06/2023 - 23/06/2023
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
prohibiting her from performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it
hundred thousand baht, or both. SECTION 299/2 Any person who contravenes or fails to comply with the court’s judgment or order which specifies a sanction in accordance with Section 297/1 (2) or (3) or
offences regarding market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more