being major shareholder of securities company; provided that severity of such person's behavior shall be taken into account. Further, the specified so period shall not be longer than five years from the
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
Operators The Notification of the Office of the Securities and Exchange Commission No. SorThor. 39/2561 Re: Prescription of Factors in Determining Severity of Behaviors Which are Prohibited Characteristics
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
values using a fair price. The value per investment unit shall be rounded up to a minimum of 10 decimal digits according to international standards. (2.3) Increase or reduce the number of investment units
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of