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
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
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
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Civil Sanctions (As of 31 December 2023) Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...