, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse
conjunction with Section 244(3) and subject to the penalties under Section 296 and Section 296/2 of the said Act. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction on
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently