Limited (RASA)*, whose names and offenses are as follows:(1) Mr. Rapi Pinijchob disseminated false statements, (2) Ms. Chanthani Thanompongchat took advantage of inside information to buy RASA shares and

2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses

Criminal Code. The actions of Suppharoek constitute the offenses under Section 244/3(1)(2) in conjunction with Section 244/5 and Section 315 of the SEA, liable to the penalties under Section 296, Section 296

December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client

maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may

, since the offenses in this case also constitute a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999) and related amendments, the SEC has also reported the matter to the AMLO.Filing a

. Besides, in the offenses of certain offenders, the civil sanctions cannot be applied. The SEC, therefore, has filed a criminal complaint against those four offenders with the ECD for consideration of

introduced as an alternative sanction for offenses that could affect the overall creditability and transparency of the capital market. This includes market misconduct, disclosure of false information or non

for one’s own interest or third parties’ interests and thereby causing damage to EARTH. The aforementioned acts constitute the offenses under Section 308, Section 310, and Section 311 of the

well as the persons who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the