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

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

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

Inquiry Official Dated 01/12/2017 Mr.Kitisan Mookdee Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to

, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the http://market.sec.or.th/public/idisc/en

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

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

02/12/2015 Circuit Electronic Industries Public Company Limited Circuit Electronic Industries Public Company Limited (“CIRKIT”) (now known as Venture Incorporation Public Company Limited (“VI”)), a

. 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

/public/idisc/en/Enforce Settlement Committee Order No. 58/2022 Dated 28/03/2022 (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of