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
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting
Order No. 55/2023 Dated 18/05/2023 UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is
that is no system to control short position transaction underlying with SET50 index http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 38/2024 Dated 13/05/2024 control the
former Chief Executive Officer. Therefore http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 16/10/2017 misconduct above is deemed an execution of
Executive Officer who is responsible for the operation of Siamese Asset Public Company Limited (“SA”), shall be liable for SA offer for sale http://market.sec.or.th/public/idisc/en/Enforce
18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of