be enforced. The SEC Office present the case to the Civil Sanction Committee (“CSC”). CSC determines which civil penalties shall be imposed. Does he pay monetary sanctions determined by CSC/ Court
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Civil Sanctions (As of 31 December 2023) Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A
, Malaysia, Mongolia, Pakistan, the Philippines, Singapore, Chinese Taipei, Thailand and Viet Nam. conduct investigations and impose sanctions; Communicating enforcement actions and practices; Providing
shall be in the form specified by the Minister. SECTION 66 In the execution of his duties under this Act, the competent official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute
specified by the Minister. SECTION 66 In the execution of his duties under this Act, the competent officer shall be an officer under the Penal Code. UNOFFICIAL 16 Chapter 8 Sanctions, Statute of Limitation
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
**************************** อ่านข้อมูลการดำเนินมาตรการลงโทษทางแพ่ง (Civil Sanctions) เพิ่มเติมได้ที่ https://www.sec.or.th/TH/Pages/LawandRegulations/CivilPenalty.aspx สำนักงานคณะกรรมการกำกับหลกัทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
with a letter of consent which specifies civil sanctions in accordance with Section 317/4 (3) or (4) shall be liable to imprisonment for a term not exceeding six months or a fine not exceeding three