Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
the SEC within 30 days . In case the operator ( a ) fails to submit such plan ( b ) fails to operate in accordance with the plan ( c ) experiences negative NCs for 5 consecutive days, or ( d
. Within two years prior to the filing of the application for an approval, the applicant has never breached any provisions on the use of proceeds of the bonds - Applicable to the offering of bonds only
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office for four-year term and upon completion of their term may be
net assets and net liabilities shall not be less than paid-up registered capital in the amount specified in Section 96 of the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from
auditors who wish to be approved from the SEC shall file the application form together with supporting documents as per checklists to the SEC. In considering the application, the SEC has two approval systems
recommendation of the candidate proposed by the SEC Board. Secretary-General holds office for a four-year term and may be re-appointed but not for more than two consecutive terms. Click here to download