, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
information or misstatement, it will order the company to rectify such financial statements and publicly disclose the order via the SEC website. From time to time where the SEC finds suspicious transactions in
benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to clearly indicate the number of shares to be purchased, without having to use internal
independence from the profession in the same way as specified by IOSCO. To support competitiveness of Thai listed companies and improvement of financial statements to conform to the international standards, the
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
, in case that the buyers/end users of product/services are not the government agencies. This is not applied on activities that indirectly contribute to improvement in the public health and welfare