may arrange an alternative site for supporting continuity of operation. Such alternative site should not use the same source of infrastructure as the main office, should have a location distant from the
296/2 of the SEA, as the case may be. The Civil Sanction Committee (CSC) has therefore resolved to impose civil sanctions on the 14 offenders above, as summarized below: (a) The offenders are
shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure
proposals pushed by the SEC have shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the
; or (G) any other appropriate sanction provided for in the rules of the Board. Reference : https://www.gpo.gov/fdsys/pkg/PLAW-107publ204/html/PLAW-107publ204.htm เอกสำรแนบ 1 https://www.gpo.gov/fdsys
, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction
order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction under Section 111 in
period was over; (2) I was subject to the civil fine imposed by the Civil Sanction Committee with the written notice, and it has not yet surpassed the period specified by the SEC Office (the maximum period
มีความคืบหน้าเป็นอย่างมากในการผลักดันการแก้ไขกฎหมายหลายฉบับ ได้แก่ กฎหมายหลักทรัพย์เพื่อเพิ่มมาตรการลงโทษทางแพ่ง (civil sanction) และองค์กรกำกับดูแลตนเองในตลาดทุน (SRO) การดำเนินคดีแบบกลุ่มในประมวล