) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA.  The Civil Sanction Committee has resolved to authorize SEC to initiate civil

approved capital market investment consultant for two months. The sanctions took effect from July 31, 2013. In addition, the SEC disclosed inappropriate behavior of an approved securities investment

/5, which are liable to penalties under Section 296, Section 296/1 and Section 296/2. Additionally, Section 47 of the SEA (No. 5) B.E. 2559 (2016) allows for the imposition of civil sanctions on such

lawsuit in the Civil Court to seek the maximum applicable civil sanctions, which shall not be lower than that specified by the CSC.      In all cases, the civil penalties and the compensations for the

/1 and Section 296/2 of the SEA.The Civil Sanction Committee (CSC) has therefore resolved to impose civil sanctions* on the 17 offenders, comprising civil penalties, compensation in the amounts equal

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigatio...

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s documents  indicated that its total revenues relied on six major counterparties, accounting for 49 percen...

Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market