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Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has therefore requested the public prosecutor in writing to file a lawsuit against Mr. Thanawat in the Civil C...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8193

SEC suspends an investment consultant for trading securities without client?s orders

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5568

SEC reveals inappropriate behavior of three investment consultants for not taping clients? trading orders

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4616

SEC sanctions three investment consultants for incompletely keeping evidence of clients' 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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4652

Settlement Committee fines former SLC executive for insider trading and imparting false statement

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=3517

SEC to amend provisions on unfair securities trading practices and market linkage

Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4558

SEC suspends an investment consultant for trading securities on behalf of client

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5304

SEC sanctions four capital market personnel for incomplete trading order records

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5315

SEC suspends an investment consultant for trading on behalf of client

Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5321

SEC suspends two investment consultants for trading on behalf of clients

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5337