’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection
License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge. _____________________
on securities businesses.SEC disseminates the public hearing document on this issue at SEC website: https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=578. Any related and interested parties are
SEC Secretary-General Ruenvadee Suwanmongkol said: “Doing good deeds for motherland can start small with any basic thing within one’s organization. The SEC, for example, introduces Vibhavadi Zero
be collected from certain types of transactions that are currently not subject to any fee. In addition, the rates of fee should be easily applied under the principle of ease of doing business, for
disseminates the public hearing document on this issue at SEC website: www.sec.or.th/hearing. Any related interested parties and persons are welcome to make comments at the website or facsimile: 0-2033-9712
debenture holders’ representative at any time during the term of such securities, and (4) adds provision to support the appointment of bondholders’ representative for no guarantee bond issued by government
fails to comply with the Appeal Court’s judgement, SEC shall proceed with legal execution in accordance with the legal process in due course.”In any case, the civil penalty and the compensation for the
such rectification by allowing the financial statements to remain false, incorrect or inconsistent with the facts, they may be liable to commission of offenses under Section 312 of the Act. In any case
capital requirement by taking into account the types of business models as well as the existence of lead regulator (if any). Also, certain conditions and periods of protection have been adjusted in this