process to members and shall include a system, in form of a committee, for consideration of appeals filed by the members against the disciplinary sanction. The Capital Market Supervisory Board rules
of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The administrative sanctions are as follows: (1) probation; (2) administrative fine
and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The administrative sanctions are as follows: (1) probation; (2) administrative fine; (3) public
official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The
) และร่วมมือกับหน่วยงานที่เกี่ยวข้อง อาทิ ตลท. ให้เกิดการดำเนินการกับผู้กระทำผิดอย่างจริงจัง รวมทั้งผลักดันและดำเนินการให้มาตรการทางแพ่ง (civil sanction) เป็นอีกเครื่องมือหนึ่งในการบังคับใช้กฎหมายในตลาด
shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure
proposals pushed by the SEC have shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the
on the upcoming or intricate financial reporting standards. Additionally, the SEC will continue to encourage listed companies to establish a more robust internal control system. In so doing, we will
; or (G) any other appropriate sanction provided for in the rules of the Board. Reference : https://www.gpo.gov/fdsys/pkg/PLAW-107publ204/html/PLAW-107publ204.htm เอกสำรแนบ 1 https://www.gpo.gov/fdsys
, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction