, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in order for the DSI to conduct further legal proceedings in the case of EARTH’s violation of the SEC’s order
Information Transmission System. Such misconduct was in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992), which was effective at the
against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct
N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003
Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions
violation of Section 16 of the Derivatives Act B.E.2546 (2003). This case is under consideration of the public prosecutor. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 25/06/2009