According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16

conjunction with Section 244(3) and subject to the penalties under Section 296 and Section 296/2 of the said Act.   The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction on

processing and confirming the redemption orders in violation of the tax terms;             (3) In the case of {C}, she was found to approve the redemption orders in the Bank’s investment unit trading system

Bangkok, 8 January 2021 – SEC Secretary-General Ruenvadee Suwanmongkol has announced that the SEC Board Meeting No. 1/2564 dated 7 January 2021 passed a resolution appointing three members of the

amended by the Securities and Exchange Act (No. 5) B.E. 2559 (2016), on seven counts; 3. During 16 February 2017 – 12 July 2017, Jeeraporn obtained or possessed inside information related to the operating

could influence the client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client;   (3)  In the case of {C

Bangkok, 18 January 2019 ? The SEC has imposed civil sanction on three offenders for manipulating the share price of Bangkok Airways Public Company Limited (BA), namely (1) Mr. Prasert Prasarttong

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the