mislead other persons was in violation of Section 238 and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was imposed a criminal fine of 500,000 baht.
under Section 243 and subject to penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992) and Section 317/4(1) of the Securities and Exchange Act (No. 5) B.E. 2559 (2016) in
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
Securities and Exchange Act B.E. 2535 (1992) (SEA), in conjunction with Section 83 of the Penal Code, subject to the penalties under Section 296, Section 296/1 and Section 296/2 and civil sanctions under
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market
securities companies? rules strictly and do not meddle with the client's assets and trading account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the orders were sent through over the internet and under her securities trader ID while the client acknowle...
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit a selling order for the securities in such account. It was found that prior to the transactio...
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and KTB Securities? investigation report. From the SEC probe, it was found that the complainant was l...