has taken part in reviewing major securities regulatory issues with regulators of global financial centers, such as the USA, England, Japan, Australia, and Hong Kong. In addition, the SEC also currently
standard in undertaking financial institution business or for professionals engaging in financial business; (11) has been suspended the business operation by the Thai or foreign authorities empowered to
performed duties responsibly with due care pursuant to Section 89/9 of the SEA, the following factors must be taken into account: (1) Decision has been made with honest belief and reasonable ground that it is
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
care, the following factors shall be taken into account: (1) position in the company held by such person at that time; (2) scope of responsibility in the position of such person in accordance with the
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged