capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
additional information for further investigation and legal action. Please be informed that filing a criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
pending for the construction license approval process of the project, which delays due to change in policy on procedure and the license approval process of the licensing agency, which is the Department of
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
Administrative Procedure under the Derivatives Act B.E. 2546 and Trust for Transactions in the Capital Market Act B.E. 2550 (No. 2)