to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was subject to a criminal fine penalty. Given that the benefit he had received was lower than the minimum fine of
penalized a former investment consultant named Mr. Nattapong Saelee by prohibiting him from performing duties as capital market business personnel for seven years and six months on account of committing
Civil Penalty Committee as follows : - a compensation of the benefit received from committing the offense in an amount of 1,383,500.00 Baht  
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
transfers, counterfeited the investor’s signature to execute redemption transactions, and used the ATM card to withdraw money from the banking account and spent it for her own benefit. Such wrongful acts
transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
Real estate-backed ICO is in the form of fundraising and benefit generation similar to REIT. However, the regulations governing real estate-backed ICO with regard to investor protection mechanism
. 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a compensation of the benefit received from committing the
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section