The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral

, and to bar him from serving as a director and executive of securities issuing companies and listed companies for 10 years. In addition,  SEC has reported the case  to  AMLO as this

ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling

The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside

rendered a judgement in the Red Case No. Por. 5396/2562, wherein the defendant was required to pay (1) a civil penalty, 1.25 times the benefits that the defendant received or would have received from

-public information available to him by virtue of his position in the company.Such information included PAP?s operating results in the financial statements for the third quarter of 2014, which showed a

such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units

exchange, as the case may be, which are in a list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF. “exchanging in-kind” means entering into the

shall also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of

-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due