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
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
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
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
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
house, regulatory association of derivatives business operators or information relating to any violation and penalty imposed on the violators under this Act, including any other information obtained in
approved mutual fund manager, such person shall proceed in accordance with the rules as prescribed in the first paragraph hereof. If any person, who has been granted an approval to act as a mutual fund
shall proceed in accordance with the rules as prescribed in the first paragraph hereof. If any person, who has been granted an approval to act as a mutual fund manager, fails to comply with the rules as
shall proceed in accordance with the rules as prescribed in the first paragraph hereof. If any person, who has been granted an approval to act as a mutual fund manager, fails to comply with the rules as