approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
majority shareholders) have personal interests (both directly and indirectly) that may be in conflict with the company's interests which results in such persons' failure to make a decision or to perform
Companies Report Forms Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Securities Business Derivatives Business 1. Securities brokerage 1
injured person claims compensation from a person who, willfully or negligently, unlawfully acts and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary
and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary Duty). One year from the day when the wrongful act and person bound to make compensation become
general public. Furthermore, we encourage uses of FinTech to generate financial solutions, and to serve as an aiding tool for financial planning under the framework “Five Steps to Investment with
determine the term of debt securities to be in line with their term of financial needs. On the investors' side, debt securities provide an investment alternative during the period of fluctuations in the