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
Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons
sanction proceedings against Apichart, Eng and Supanee requiring each offender to pay civil monetary penalty, disgorge the benefits of loss avoided from committing the offenses, and reimburse the SEC’s
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
have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter
recognized by the SEC Office; Clause 24 In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the
considered to settle his current case with harsher punishment.
offences regarding market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB