Enforcement Measures R egulatory Summary Administrative Actions Criminal Actions Civil Sanctions Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 178/2022 Dated 11/11/2022 with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board
, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2018, and (2) the reviewed financial statements http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 22
with an Inquiry Official Dated 17/09/2019 K.C. Property Public Company Limited K.C. Property Public Company Limited, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2018, and
approval: - the severity of the offence, - the impact on the capital market, - the evidence that may be used for establishing the guilt, and - the worthiness of imposing such penalties. Civil Sanction is
with an Inquiry Official Dated 28/02/2019 debtors as GL’s income on those financial statements and financial reports but the fact that the transactions are an execution of asset misappropriation by GL’S
/06/2018 the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the
results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the SET http://market.sec.or.th/public/idisc/en/Enforce Civil Action Dated 06/06/2018 total of 1.3 million
information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the SET http://market.sec.or.th/public/idisc/en/Enforce Civil Action Dated 06