Bangkok, December 13 , 2012 - The SEC suspended {A}, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and also reprimanded {B} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, caus...
/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
/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
, said: ?During the past 10 months, the SEC has successfully imposed civil sanctions on 21 offenders, either natural or juristic persons, in the total of eight cases. The offenses involved misuse of inside
sanctions* on the five offenders, requiring them to pay a civil penalty, a compensation at an equal amount to the benefit received or that would have been received, and a reimbursement of investigative
subject to civil sanctions under Sections 317/4 and 317/5 of the same Act.The Civil Sanctions Committee (CSC) has resolved to impose civil sanctions on Mr. Perajed Suwannapasri, requiring him to pay a civil
}, formerly a manager of Chonburi branch and a capital market investment consultant of the same company, for aiding and abetting the aforementioned acts. The sanctions imposed on these five persons took effect
The SEC Civil Sanction Committee (CSC) had earlier resolved to impose civil sanctions on all four offenders of this case, among which only two agreed to comply with the specified civil sanctions
Facebook account named "Japhoon", in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003
), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. This case is in the process of inquiry by