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
offense under Section 242(1) in conjunction with Section 243(1), subject to the penalties under Section 296 and Section 296/2 of the Securities and Exchange Act B.E. 2535 (1992) (SEA).By allowing Dr
Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to
were sentenced to a six-month imprisonment and a fine of 200,000 baht for the violation which occurred during January 2 - August 17, 1992 and a one-year and six-month imprisonment and a fine of 500,000
were sentenced to a six-month imprisonment and a fine of 200,000 baht for the violation which occurred during January 2 - August 17, 1992 and a one-year and six-month imprisonment and a fine of 500,000
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation