revealed to the public are liable to criminal sanctions. More severe penalties will be imposed in case the act is done with an aim to deceive investors or general public. The SEC thus urges executives and
anti-corruption measures, e.g., refusal to pay bribery, no involvement in corruptive attempts and sanctions against those who do, as well as communication and staff training with respect to anti
liable to sanctions. On the other hand, investors should trade securities themselves or, if need be, assign authorization according to securities company regulations and monitor their own portfolios
ธันวาคม 2559 โดยมาตรา 317/1 กำหนดให้การกระทำความผิดอาญาตามบทบัญญัติกฎหมายดังกล่าวดำเนินมาตรการลงโทษทางแพ่งกับผู้กระทำความผิดได้อ่านรายละเอียด “การดำเนินมาตรการลงโทษทางแพ่ง (Civil Sanctions)” ได้ที่ https
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
lists out the Group’s laws, policies and expectations pertaining to fair competition, sanctions and export control, brands and intellectual property , respect, dignity and fair https://www.sec.or.th/TH
the Group’s laws, policies and expectations pertaining to fair competition, sanctions and export control, brands and intellectual property , respect, dignity and fair https://www.sec.or.th/TH/Documents