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
stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members are representatives from the private sector, external experts. 7. Seek approval from SEC
Fund may invest or have in Possession (Repealed) Appointment of the Settlement Committee under the Provident Fund Act B.E. 2530(Repealed) Appointment of the Settlement Committee under the Provident
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
benefit to be received (the value of ESOP minus the market value) Opinion of the compensation committee on the reason, necessity and benefit that the company will gain. The committee consists of: At
on the client’s behalf, the private fund management company shall give advice on exercise of voting rights to the provident fund committee or request the provident fund committee to delegate its voting
on the client’s behalf, the private fund management company shall give advice on exercise of voting rights to the provident fund committee or request the provident fund committee to delegate its voting
and the audit committee are independent pursuant to the rules. Independent directors are ≥ one-third of the total number of directors but not less than three persons. The audit committee consists of
independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the corporate governance and internal control system? Disclosed information Board of directors and
thereof (under Section 70-71 of the Trust for Transactions in Capital Market Act). There are several levels of administrative order issuers, i.e., the SEC, the Administrative Sanction Committee and the