given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the SEC is empowered to take any of the following actions, as the case maybe: (1
draft prospectus, if the SEC Office views that there is a necessary and reasonable ground for investors to have sufficient material information for making investment decisions, the SEC Office shall have
rule. POLAR's action under the responsibility of Yanakorn and Poonsak was an offence on the ground of concealing material facts that should have been disclosed under Section 281/10 in conjunction with
four on-ground activities and the introduction of new digital tools, as follows:1) Participating in Money Expo in Udonthani province during 4-6 October 2019 to promote provision of capital market
. In the case of Surasak, the evidence presented a ground to believe that he had known of the facts concerning such joint venture by virtue of his position as an audit committee member and independent
before the term ends, the Fund Committee shall comprise of the remaining members of the Fund Committee, and the member newly appointed as the replacement shall hold office for the remaining period of the
characteristics; (3) having any improper behavior which, if considered on a reasonable ground, materially affected clients, investors, company or shareholders, or money market or capital market as a whole, in a
of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for
Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the
in the Capital Market Business. Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days