.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by
had committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for being a director who acted to obtain falsified accounts or
conjunction with Section 83 of the Penal Code. The Civil Sanction Committee has resolved to authorize the SEC to initiate civil sanction proceedings against the 13 offenders, requiring each to pay civil penalty
to bring the case against all offenders for the Civil Court to impose the highest civil sanction allowed by law in the form of civil penalty at the total amount of 2,303,065,651.33 million baht.The
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
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
Section 3 of the Penal Code. The Court inflicted the punishment of 1 year imprisonment and 1,00,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 6
), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course
information to trade securities for his own and others? benefits in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section 296 of the