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added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
.; 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
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
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Thai capital market. In the upcoming 2011, we expect the Thai capital market to continue to experience similar factors of high impact - the shifting global economy, foreign capital flows and domestic