under Section 296 and Section 296/2 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions* on the three offenders above through the imposition of civil penalty, compensation at
were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
Earlier, the Civil Sanction Committee resolved to impose civil sanctions on {A} for obstructing and not cooperating with other IFEC directors to set up board of directors meetings and a
297 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit
Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit received or should have been received
sanction proceedings against Apichart, Eng and Supanee requiring each offender to pay civil monetary penalty, disgorge the benefits of loss avoided from committing the offenses, and reimburse the SEC’s
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB
guidelines would not impose excessive burdens on audit firms and auditors and would specify penalty alternatives that focus on appropriate proportionality of punishment to offense. The consultation paper
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already