. Saard Theerarojanawong. Members include representatives from public and private organizations, e.g., the Legal Execution Department, the Federation of Thai Capital Market Organizations, the Association of
securities, and enhance investors’ confidence. According to the proposed regulations, the terms, “executive” and “business in the group” would be defined in accordance with the legal presumption under the
), may be subject to legal proceedings and penalties of fine and imprisonment. In case of liable offenses under other laws, SEC will cooperate with relevant agencies for further proceedings
Administration Department, Stakeholder Relations Department and Capital Market Promotion Center. Newly appointed Assistant Secretary-General Nataya Niyamanusorn manages this Division. 2.3 Legal Counsel
legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer
and subject to the penalties under Section 296 of the SEA. Therefore, SEC has filed a criminal complaint against the said persons requesting ECSD to consider legal action. Concurrently, SEC has
เห็นได้ที่เว็บไซต์ หรือโทรสาร 0-2263-6476 หรือทาง e-mail ที่ legal@sec.or.th จนถึงวันที่ 9 พฤษภาคม 2557
Police against {X1} Co., Ltd. and {A}. In this connection, any person suffering damage from investment with the aforesaid persons should contact the ECD Police at 0-2237-1199 for further legal proceedings
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
enable the Agency to bring more legal actions, either criminal or civil, against offenders. Whereas the informants or witnesses, who provide information or evidence to SEC official, will receive