Department of Special Investigation (DSI) for further legal proceedings.Their actions were in contravention of the first paragraph of Section 281/2 in conjunction with Section 89/7 of the Securities and
the board of directors of listed companies is obligated to perform duties with care, responsibility and honesty in accordance with Section 89/7 of the Securities and Exchange Act, the SEC, by virtue of
conjunction with Section 83 of the Criminal Code. Also named in the complaint were Nongluck Sinprasertlert, investor contact (marketing officer) at Kim Eng Securities (Thailand) Public Company Limited, who was
which were investment in gold futures, not spot gold. Accordingly, the actions of G.O.L. (Thailand) were in violation of the Derivatives Act B.E. 2546 (2003), Section 16, subject to sanctions under
report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor
Company Act.? In this regard, the SEC has taken into consideration the DBD?s ruling in conjunction with Section 89/7 of the SEA which prescribes duties of directors and executives of listed companies and
February 2014 before the information became publicly known on 28 February 2014. Such action was deemed taking an unfair advantage of other people.Chai?s misconduct was in violation of Section 241 and liable
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000