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
) untrustworthy characteristics on the ground of demeanors in the nature of offense pursuant to the Securities and Exchange Act B.E. 2535 (1992) prior to the Amendment by the Securities and Exchange Act (No. 5) B.E
complied with, and the fund’s articles are properly in accordance with Section 9 and are not in violation of law or the fund’s objectives, the registrar shall effect the registration of the fund, and shall
bonds, bills or Sukuk for sale in violation of the criteria for offer for sale in a private placement to institutional investors or high net worth investors in the two years prior to the filing of the
relating to reasonable supervision to prevent juristic person or business under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or
Criminal Fine File Criminal Complaint *Some offenders may committed more than one offense. Page 1 of 6 Statistics of Criminal Actions (As of 31 December 2023) Fraud Fail to exercise duty of care Disclosure
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
the debt securities, bills or Sukuk for sale in violation of the criteria for offer for sale in a private placement to institutional investors or high net worth investors in the two years prior to the
following material particulars: (1) an alleged person’s name; (2) any act that would be considered as violation subject to the administrative sanction together with facts and circumstances pertinent to the
prescribed under Clause 22/2: (1) within a period of five years prior to the date of submitting the application: (a) having acted in violation of any rule or condition related to securities offering in a