Exchange or the securities trading center with the approval of the Office, as the case may be; (2) short sale of securities which are debt instruments, whereby the Office also has the power to issue
power to issue Notifications prescribing addition rules on such matter for the securities companies; or (3) short sale as a consequence of duties arising from obligations under categories or
department in charge of appeal consideration shall record the receipt of the appeal and shall issue a receipt or a notice of acceptance of the appeal, as the case may be, to the appellant. The receipt or
the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of
intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take a necessary action; ● Any complaint whose main issue is under supervision of any
regulate country’s financial system, issue regulations and control financial institutions, circulate banknotes, supervise international money transfers, and monitor exchange rate of Thai Baht against foreign
issue orders relating to the value of transactions; (3) In case where a company or any of its subsidiaries disposes of all of its assets or substantially all of its assets used in the normal course of its
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions