wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
prohibiting her from performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it
performing duties related to provision of services for sales of securities products from 17 January 2020 to 16 April 2020, which exceeded the sanction period imposed by SEC. Therefore, it is deemed that Prapai
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
Bangkok, 9 November 2017 ? The Civil Sanction Committee has imposed civil sanctions on four persons, namely (1) Mr. Surachai Suwanthanakul, (2) Mrs. Orthai Sae-tung, (3) Mr. Somsak Saravutwattanakorn
judgement, no matter if the imprisonment is suspended, and shall end after the imprisonment or the suspension thereof has surpassed an interval of three years; (2) a removal on the ground of civil sanction
. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
suspension period ends in two years, five months and seven days. In considering the appropriate administrative sanction, the SEC takes into account the following factors: the involvement and behavior of the