SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

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

information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27

) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors

handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________

business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht

agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth

using material non- public information for Mr.Suwat's profit. 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :    

>20/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.30 Baht SEC Act