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
rating action the matter, application of the credit rating methodology, decision-making activities (e.g., the operation of a rating committee), interaction with the rated entity, obligor, originator
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
our staff and customers remains our top priority. The Company constantly evaluate the situation and take proactive action to manage up-to-date under condition that are changing rapidly by aware of the
used to determine the credit rating. respect to a credit rating action the matter, application of the credit rating methodology, decision-making activities (e.g., the operation of a rating committee
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
from the Secretary-General 08 Members of the SEC Board 11 Executive Officers 15 About the SEC 18 Thailand’s Capital Market Overview 23 Key Achievements in 2004 26 2005 Action Plan 2004 Achievements 29
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
roles to appropriately perform their jobs as shareholdersû representative to maintain the companyûs interests. Regarding the development task, the 2004 action plan intends to expedite the establishment of