Woraphant, Preeya and Sasipas whereby the three offenders must pay a separate civil penalty, compensate for the benefits received from committing the offenses and reimburse for the investigative expenses

According to the findings after a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, the offenders were divided into two groups, with details as follows

KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam

According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the total amount of 1,286,700 shares using securities trading accounts of Amornrat and Walailuk bef...

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions, name and contact address of clients in Thailand, records of their meeting with clients, lists of...

January - 23 February 2017 before the financial statement year 2016 of ICHI was submitted to SET which helped Supanee to benefit from loss avoided.   The action of the offenders contravened the

Bangkok, 4 January 2018 ? The Criminal Fining Committee has imposed separate fines on four offenders for publicly offering debentures without approval.The four offenders are: (1) Marnfah Group Co

Bangkok, 30 January 2018 ? The Criminal Fining Committee has imposed separate fines on Mandawee Tour Co., Ltd. and Mr. Prasit Jiewkok, at the total amount of 1 million baht, on the ground of publicly offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a seminar at a hotel in Udonthani Province to solicit the attendance of some 100 persons, mostly el...

offenders have agreed to the civil sanctions imposed by the Civil Sanction Committee; Surachai has paid a fine of 1,635,871.25 baht while Orthai, Somsak and Phichayada have paid a separate fine of 500,000

impose civil sanction on the eight offenders. In this regard, (1) PCL, (2) Pranay, (3) Manish and (5) Amit were ordered to pay a separate civil penalty of 500,000 baht while (4) PAPL was ordered to pay