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his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent in the https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
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In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
companies with clients who are securities companies under foreign law and acting as brokers or agents in trading or exchange of securities for others (inter-brokers) to additionally conduct a Know-Your
compensation of the benefits received from the offenses and the highest civil penalty as allowed by law. Due to the civil sanction imposed by the Civil Sanction Committee, the four offenders are liable to
and take action against the offender under the law in due course. SEC and SET are in close collaboration to foster transparency and investor confidence._____________________________Notes: * SET