additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and
partial selection. In addition, the company must strictly monitor its personnel and impose sanction in case of breach of duties. Information contained in this news release is as of the aforementioned
instruments type 1 for {A} and {B} and the approval period as investment planner for {B} will expire on 31 December 2020, SEC has therefore suspended their approvals, from the effective date of the sanction
without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6507 SEC imposes civil sanction on eight offenders for insider trading of PTL shares from the date specified in the SEC letter to be issued to notify their possession
operating digital asset business in the category of digital asset exchange without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66
added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process
. 171/2018 headlined “SEC imposes civil sanction against 40 offenders in AJD price manipulation case” issued on 27 December 2018SEC News No. 31/2019 headlined: “SEC requests the public prosecutor to bring
Prevention of Unfair https://www.sec.or.th/EN/Pages/LawandRegulations/Regulations.aspx English (United States) CivilPenalty Sanction is a recent enforcement power added by the Securities and Exchange Act (No