, securities company, Securities Exchange, over-the-counter center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
Criminal Fining Committee thus fined him 500,000 baht.Such fine penalty has caused him to possess untrustworthy characteristics of directors and executives of securities issuers and listed companies. The SEC
prosecutor to file a lawsuit against Mr. Suphanan in the Civil Court to press for civil sanctions with the highest legal penalty. Mr. Suphanan is ordered to pay a civil fine and the benefits of his
. 2559 (2016). The Settlement Committee will consider a fine penalty on Mr. King in due course. Meanwhile, due to his deficiencies in duty performance, Mr. King is liable to have prohibited
will also require NMG Chairman of the Board to make clarification according to normal procedure. If non-compliance with the said provision is found, the SEA prescribes the penalty under the first
penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by
exchange imposes penalty of fine on them. “member” under the first paragraph means member of the Stock Exchange or the derivatives exchange, as the case may by. Clause 26 The provisions under Clause 25 shall
sentenced the accused to pay a fine of Baht 60,000 and a further fine of Baht 1,000 each day for 279 days starting from April 1,2010 until January 4,2021 totally 279,000 Baht. The amount of total fine for the