(1), in conjunction with Section 315, subject to the penalties under Section 296 and Section 296/2 of the Act.     The Civil Sanction Committee (CSC) has therefore resolved to impose civil

manners. (a) being suspended or revoked an approval or having any characteristic causing termination of approval, or being taken similar action and unable to perform the duties as capital market personnel

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

. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106

. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction

าหนี้เพื่อการปรับโครงสรางหนี้ การเสนอขายแก (1) ผูลงทุนทั่วไป (2) สถาบัน/ HNW มูลคาเกิน 100 ลบ. ขออนุญาต Shelf Approval 3 ป (เกณฑอนุญาตแบบงาย 1/ + จดขอจํากัดการโอนในกลุมผูลงทุน) Shelf

; 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