Bangkok, 31 August 2017 ? The SEC is seeking public comments on the draft rules concerning determination of paid-up registered capital of securities and derivatives intermediaries to better suit
be cancelled to lighten the applicant's burdens. Meanwhile, remedies would be compensated to the existing licensees who have paid for the license fees based on the criteria specified under the current
imposed on them and paid separate civil penalties at the total amount of more than 120 million baht. The six offenders are: (1) Mr. Sathit Roongwatanapak, (2) Mr. Chavin Roongwatanapak, (3) Ms. Tanyapa
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of
to inform such material information led to the Revenue Department?s demand for refund of the tax deduction money plus a fine imposed on the client. {A}, however, has already compensated for the
care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for
and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such
on insider trading and market manipulation offenders under Sections 241 and 243 of the Securities and Exchange Act B.E. 2535 (1992). The bounty and gratuity will be paid in the amount up to 30% of the
Public Company Limited (PDI). The offenders paid civil penalties and compensation for the received benefits, at the total amount of 1,917,895.83 baht.According to the referral from the Stock Exchange of
Group Public Company Limited (TOG). The offenders paid civil penalties and compensation for the received benefit, at the total amount of 4.83 million baht. According to the referral from the Stock