The criminal complaint was imposed on two former GGC director and executive, namely (1) Mr.Jirawat Nooritanon, Managing Director at the time of the offense (during 2014 – 2018), and (2) Mr.Wanlop

sanctions imposed by the Civil Sanction Committee. However, if any offender declines to comply with the civil sanctions ruled by the Civil Sanction Committee, SEC will seek an assistance from Public

subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day

Bangkok, 4 January 2018 ? The Criminal Fining Committee has imposed separate fines on four offenders for publicly offering debentures without approval.The four offenders are: (1) Marnfah Group Co

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, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical

Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry

securities issuing companies or securities companies for a period of 28 or 60 months (as the case may be). While one offender agreed to comply with the sanctions imposed by the CSC, the other 13, namely (1) Mr

approved securities investment consultant for a year and 2 months. Having considered that Acting Sub-lieutenant Saroj had already been suspended by his employer for 3 months, the suspension imposed by the

for 2 months. Taking into account that {A} had already been suspended by her employer for one month; the suspension imposed by the SEC shall remain for additional one month, effective from September 15