sustainably in harmony with the environment in every dimension. SEC Secretary-General Rapee Sucharitakul said “SEC is committed to strengthening the capital market for growth and sustainable development by
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
conjunction with Section 83 of the Penal Code. The Civil Sanction Committee has resolved to authorize the SEC to initiate civil sanction proceedings against the 13 offenders, requiring each to pay civil penalty
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
partial selection. In addition, the company must strictly monitor its personnel and impose sanction in case of breach of duties. Information contained in this news release is as of the aforementioned
instruments type 1 for {A} and {B} and the approval period as investment planner for {B} will expire on 31 December 2020, SEC has therefore suspended their approvals, from the effective date of the sanction
without license, which is a violation of, or failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s