The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
said: “This is an insider trading case proceeded under civil sanction, filed with the Civil Court on 27 December 2018 and the Appeal Court passed the final rulings on 22 December 2020. If the defendant
pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering Act B.E
subject to pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such