relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties under this Act. SECTION 25. The initial capital of the SEC Office shall
, securities company, Securities Exchange, over-the-counter center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
exchange imposes penalty of fine on them. “member” under the first paragraph means member of the Stock Exchange or the derivatives exchange, as the case may by. Clause 26 The provisions under Clause 25 shall
appropriately. The provision under Paragraph 1 shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. 6 Amended by the Notification of the Capital
a fine penalty not exceeding one hundred thousand baht.” SECTION 38 The following provision shall be added as Section 302/1 of the Securities and Exchange Act B.E. 2535: “SECTION 302/1 Any person who
TCMA, this sanction is imposed on a Trustee and its director, manager or person responsible for the operation. (or Civil Penalty) is imposed on an offender for these following offenses under SEA and DAB
ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under