fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
training by IOD). The structure has check and balance system: Independent directors and the audit committee are independent pursuant to the rules. Independent directors are ≥ one-third of the total number
as the Assets in which the Provident Fund may invest or have in Possession (Repealed) Appointment of the Settlement Committee under the Provident Fund Act B.E. 2530(Repealed) Appointment of the
, principles and impacts of accounting standards on financial reporting. The relevant courses organized by official agencies related to the capital market including the Stock Exchange of Thailand, the
to other operator ( s ). Audit Committees of Securities Companies Securities companies with custody services for clients' assets: an audit committee with a minimum of two members is
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
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rights to the provident fund committee or request the provident fund committee to delegate its voting power to the private fund management company. 2.5 Preparation and submission of reports to the SEC