estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the
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
> Enforcement > Administrative Actions Regulations SHARE : Detail Content Enforcement Administrative Actions Administrative action is a type of law enforcement that involves the issuance of
รวบรวมได้มีน้ำหนักเพียงพอที่จะบังคับใช้กฎหมายกับผู้กระทำความผิด โดยมีช่องทางในการบังคับใช้กฎหมายดังนี้ (1) การดำเนินการทางปกครอง (Administrative Actions) (2) การดำเนินการทางอาญา (Criminal Actions) (3) การ
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or take any actions as specified in the scheme to maintain the investment unit at a constant price. Investment unit values allotted to each unitholder shall be rounded up to 2 decimal digits according
shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
company, to make it clear that an outside person who does not have access to internal information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and