everyday starting from the next day of prosecution date until the company so complies. Since the defendant pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a
reduced the fines by half, resulting in a fine of Baht 209,250 and a further fine of Baht 1000 for everyday during which the contravention continued. SEC Act S.56 and 199 Criminal Complaint Filed with an
in a fine of Baht 209,250 and a further fine of Baht 1000 for everyday during which the contravention continued. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 04/06/2014
submitted the report of the daily net capital (Form Dor Jor.1) to the SEC office later than the specified period. DAB Act S.30 Settlement Committee Meeting No. 1/2022 Settlement Committee Order No. 2/2022
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly
management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily
share price including matching orders among those accounts. The actions resulted in increase in the UNIQ closing price and average daily trading volume. These were done in concealment to mislead and