Securities and Exchange Act of 1992. The penalties include imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the violation ends.The SEC
objectives of the SEC Strategic Plan 2016-2018, which include the promotion of best practice among institutional investors. The market needs them to be active and committed to social responsibility, as far as
undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
balance securities, of which the investors may not really know the issuing companies. Accordingly, the coverage of research report should be extended beyond blue chip and interesting securities to include
expanded to include assets derived from criminal activities.Inter-agency collaboration in linking information and tracing financial flows is a key factor in disrupting and deterring the movement of assets
this purpose, the provision of significant funding shall include guarantors, contractual arrangements, or investments in any instruments that result in the financial supporter having the status of, or
plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for