/2020 sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020 http
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
be enforced. The SEC Office present the case to the Civil Sanction Committee (“CSC”). CSC determines which civil penalties shall be imposed. Does he pay monetary sanctions determined by CSC/ Court
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
test result to the SEC office within http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 25/2020 Dated 02/09/2020 Krungthai Asset Management Public Company Limited Krungthai
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an
. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce