) representative of the Bank of Thailand; and (c) representative of the Fiscal Policy Office, the Ministry of Finance. In this regard, the fine according to the criminal compounding shall be remitted to the
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
) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and Enforcement Measures R egulatory Summary Administrative Actions Criminal Actions Civil
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities business and credit foncier business; (3) securities company under the
- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities business and credit foncier business; (3) securities company under the
inquiry official, and being under investigation by the inquiry official, or under consideration and prosecution of the public attorney or court. Qualifications of an independent director Holding no more
procedures as specified in the notification of the SEC. Acts presumed to be done by an associate in securities price manipulation (Section 244/6) 1. Opening a joint bank account for making a payment
procedures as specified in the notification of the SEC. Acts presumed to be done by an associate in securities price manipulation (Section 244/6) 1. Opening a joint bank account for making a payment