PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
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
Committee Order No. 3/2022 Dated 28/04/2022 Upbit Exchange (Thailand) Company Limited Upbit Exchange (Thailand) Company Limited (“Upbit”), a digital asset exchange and a digital asset broker, prepared and
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
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
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
users of Z Wallet on the digital asset http://market.sec.or.th/public/idisc/en/Enforce Civil Action Dated 19/05/2017 Mr. Yinganan Wongsiridej Mr. Yinganan, while he was a fund manager of the Sala@Sathorn
shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of http://market.sec.or.th/public/idisc/en/Enforce Settlement