) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
conjunction with Section 83 of the Penal Code. The Civil Sanction Committee has resolved to authorize the SEC to initiate civil sanction proceedings against the 13 offenders, requiring each to pay civil penalty
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
issue through a website, being designed in any form that allows people to make comments. Such form extends from a website gathering investment news with a feature for outsiders to make comments, a web
completeness and to meet the needs for a wider variety of information. Information on ESG products can be accessed via the ESG Product Platform on https://web-esg.sec.or.th/._____________________________Remark
เพื่อสื่อสารเกี่ยวกับแนวทางการกำกับดูแลและตรวจสอบของสำนักงานเกี่ยวกับการบริหารจัดการและการควบคุมความเสี่ยงด้านเทคโนโลยีสารสนเทศของบริษัทหลักทรัพย์ซึ่งบริษัทท่านสามารถเป็ดดูแนวทางดังกล่าวได้จาก web site
ฐานดิจิทัล ( Digital Infrastructure) ภายใต้โครงการ Sandbox เพื่อรองรับการทดสอบ web portal ใน sandbox https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=830