, led to an overhaul in international auditor supervision. The SEC has witnessed a shift from a system of Self-Regulatory Organization (“SRO”) under a professional body to a more stringent regulatory
witnessed by more understanding in the society that the Act does not prohibit the use of personal data. The law, however, requires the party that obtains the personal data of others to explain to the owner
be enforced. The SEC Office present the case to the Civil Sanction Committee (“CSC”). CSC determines which civil penalties shall be imposed. Does he pay monetary sanctions determined by CSC/ Court
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The transferable subscription right (TSR) shall be determined as a security under Section 4 of the Securities and Exchange
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
. The special case inquiry official forwarded the request for reentering into the settlement of Miss Angkakarn Tantiviroon to the Settlement Committee. Miss Angkakarn paid the fine as determined by the
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the