punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor
registration of the change of IFEC directors derived from the cumulative voting because it was a breach of the company's articles of association and in violation of Section 70 of the Public Company Limited Act
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
securities for herself or others, (4) interferance with the client's asset by withdrawing and transfering the client's securities, and (5) breach of ethical and professional code of conduct prescribed by the
, and (5) breach of ethical and professional code of conduct prescribed by the Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment
เหตุการณ์ตามที่กฎหมายกำหนด (passive breach) ไม่ถือเป็นความผิด โดยบริษัทจัดการกองทุน (บริษัทจัดการ) จะต้องแก้ไขภายใน 90 วัน เว้นแต่ใช้ดุลพินิจเป็นประการอื่นเพื่อรักษาประโยชน์ของผู้ถือหน่วย สำหรับกรณีอื่นนอก
or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years