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Criminal Sanction


1. Procedure


In general, the SEC, as a regulator empowered by the Securities and Exchange Act of 1992, the Provident Funds Act  of 1987, the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997, The Derivatives Act of 2003 and the trust for Transaction in the capital Market 2007, will assume its primary responsibility investigating into possible offences of those laws. If the SEC deems a criminal violation has occurred, it will pursue the matter by filing a criminal complaint with the Royal Thai Police for further investigation according to the Thai Criminal Procedure Code. However, under Section 317 of the Securities and Exchange Act of 1992, Section 42 of the Provident Fund Act of 1987, Section 43 of the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997  Section 155 of the Derivatives Act of 2003 and Section 94 of, the trust for Transaction in the capital Market 2007, certain offences can be criminally fined by the Criminal Fining Committee appointed by the Minister of Finance. In this connection, if the fine is fully received within the period specified by the Committee, the matter is considered settled.


On the contrary, to criminally pursue offences not specified by the Sections mentioned above – the SEC has no power to prosecute in its own name – a criminal complaint shall be filed with the inquiry official of the Economic Crime Division (ECD) of the Royal Thai Police or the special investigator of the Department of Special Investigation (DSI), Ministry of Justice. Should a contravention is believed to have occurred, the matter will be forwarded by the ECD or the DSI to the Office of the Attorney General (OAG) for criminal prosecution.   

Click here
to view a flowchart of Procedure for Investigation and Handling Criminal Case.


Last updated on 31 March 2016
The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
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