PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
, efficiently and up to date. Clause 9. The securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be
likelihood and the possible effects. 7.5 The company has measures and operational plans to handle risk by either accepting, reducing, avoiding or sharing risks. 8. The organization considers the potential for
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient