Our Policies Strategic Plan Annual Report Stakeholders in the Capital Market The Foundation of the SEC Toward International Excellence International Relations Contact Us Complaint/Whistleblower Holiday
. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. ___________________________Remarks:* Persons in (1), (3) and (4) have resigned from NMG
director and executive of issuing companies and listed companies. In addition, the offense of Eakarat, who was personnel in the capital market business at the time, caused him to be a person with
. In case any person fails to give a consent to the civil sanction, the SEC will forward the matter for the public attorney to file a lawsuit in the Civil Court in due course. Apart from the civil
an alleged person, a witness or expert witness. Division 2 Determination of Administrative Sanction Clause 14. In considering an administrative sanction to be imposed on an alleged person regardless of
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
final judgment in the case not filed by the SEC Office and it has not yet surpassed the three-year interval time after either the person completed the term of imprisonment or the suspension of sentence