the SEC supervision can also be viewed under ?Investor Alert? banner. In addition, any investor or general public can be of assistance by simply dialing 1207 to give information on suspicious
instructors. In addition, 13 alliances from the ?Financial Literacy: Road to Thailand?s Prosperity? Project and other supporters will be of assistance on volunteer mentors, contents and public relations to
, hotel and educational institutions. ?FL in Workplace? has been well-receptive with cooperation and assistance from alliances including Asian Development Bank (ADB) in preparing curriculum, forming courses
civil sanction. However, if any offender declines to comply with the civil sanctions ruled by the Civil Sanction Committee, SEC will seek an assistance from Public Attorney to file a civil lawsuit with
) dishonestly diverted company assets to himself or a third party and sought unlawful gains for himself or others, causing damage to WORLD at the total amount of 30 million baht. Ms. Hongsri rendered assistance
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted