taking an unfair advantage of other persons in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992.In this case, the offender refused to enter

shares while {D}, as investor contact, had facilitated internet tradings through accounts of {A}, {B} and {C}. {A} and {D}, however, refused to enter the settlement process.Consequently, {D} is deemed to

offenders had refused to enter the settlement process. In addition, Nongluck and Adirek, as approved investor contact, are deemed to have prohibited characteristics of capital market personnel pursuant to

was consequently liable to the penalties as prescribed in the first paragraph of Section 281/2 of the SEA.  Since Nittimon had refused to enter the settlement process, the SEC filed the complaint with

such sanction; however, they refused to pay the civil penalty. Consequently, the SEC forwarded the case for the public attorney to bring a further legal action in the Civil Court. In this regard, a

) on May 18, 2016 after they had refused to enter the criminal fining process. Following the Stock Exchange of Thailand (SET)?s referral, the SEC?s further investigation has revealed that Chalaem, then

, they were posted on misconduct records and will be refused approval for capital market personnel status for 10 years in case of {A} and 5 years in case of {B}, as from June 18, 2011.  

, and a separate fine of 333,333.33 baht on each of the other three persons for aidding and abetting in the case.  Surasak and Ekkamon refused to enter the criminal fining process. The SEC, therefore

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท

Investigation (DSI) after he had refused to enter the settlement process for aiding and abetting the share price manipulation of RCI on May 2 2008, which is in contravention of Section 243 (1) in conjunction with