The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to

Bangkok, 12 October 2017 ? The SEC discloses the latest updates on the civil sanction statistics since the means of enforcement became effective on 12 December 2016, with the total of 21 natural and

sanction on the capital market auditor in the Securities and Exchange Act and to repeal and replace the provisions on renewal of the approval of the capital market auditor every 5 years with a permanent

Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on JKN in a case relating to publishing false or misleading information about JKN, requiring payment totalling

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

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

The SEC Civil Sanction Committee (CSC) had earlier resolved to impose civil sanctions on all four offenders of this case, among which only two agreed to comply with the specified civil sanctions

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

instruments type 1 for {A} and {B} and the approval period as investment planner for {B} will expire on 31 December 2020, SEC has therefore suspended their approvals, from the effective date of the sanction

will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s