specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
Earlier, the Civil Sanction Consideration Committee resolved to apply civil sanctions on Mr. Suphanan, an IFEC director and chief executive officer, and Mr. Thanawat Chansuwan, who was IFEC
defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for
influence and corruption permitted wrongdoers to escape punishment. Policy-makers should bear in mind that the credibility of a corporate-governance framework rests on its enforceability. To build this
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
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
Statistics of Administrative Sanction (As of 31 May 2023) Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator Personnel Director & Executive
same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not