Mr. Surin Phongphan Mr. Surin Phongphan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation
Mr. Pratchaya Noirit Mr. Pratchaya Noirit conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation
Mr. Tharnan Kitsirisanchai Mr. Tharnan Kitsirisanchai conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed
Mrs. Nannaphat Phipatnaraporn Mrs. Nannaphat Phipatnaraporn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was
Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. Extinction of criminal action due to the alleged offender's death
Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure
Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action