SHARE : SEC penalizes a former investment consultant for 7 years and 6 months due to wrongful acts against investors’ assets Friday 7 August 2020 | No. 145 / 2020 Bangkok, 7 August 2020 – SEC has

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

of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search   Relevant Informations > Criminal Sanction

: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search   Relevant Informations > Criminal

Settled  |  Administrative Orders  |  Administrative Sanctions  |  Civil Action Relevant Informations > Criminal Sanction - annual Statistics > Administrative Sanction - annual statistics > Civil Sanction

punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment or discharged of the probation for less than 3 years: (a) the offences under

related penalty provisions shall apply to the register and transferability of any other securities as specified in the notification of the SEC under Section 33, mutatis mutandis. In cases where the SEC

added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process