Police or the Department of Special Investigation) for further investigation in accordance with the Criminal Procedure Code. After that, the inquiry official will conduct a further investigation and pass
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
Finance; (3) the Director-General of the Department of Special Investigation; (4) the Governor of the Bank of Thailand; and ( 5) the Secretary-General of the SEC. In addition to the
the I Code List of Code Signatories Examples (International) Corporate Governance Code 2017 Concept CG Code Practice Notes SET Ministry of Commerce Other related entities Company Profile
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and