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
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
handling of whistleblowing complaints, including the investigation, any remedial action, and reporting to the board. 6.5.3 The board should ensure that whistleblowers are protected from retaliation as a
formulated the SEC Strategic Plan for 2024 – 2026 to set the direction for the supervision and development of the Thai capital market in order to enhance confidence and sustainability within the nation. The
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
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
details of the investigative process to the complainant to prevent an impact on the consideration of the case. The results of the consideration will be sent to the complainant after the SEC investigation
, the SEC shall file a criminal complaint with the inquiry official of the Department of Special Investigation (DSI) or the Economic Crime Investigation Division (ECID) of the Royal Thai Police, depending
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the