notification is implemented/enforced practically, transparently and effectively. 10. Seek approval from SEC Board/CMSB/SEC Office before the notifications become effective * 11. Publicly disclose in the
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
investment units of mutual fund; 2) Redemption payment in the form of securities or other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the
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
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain https://www.sec.or.th/EN
payment with respect to debentures. Ten years from the moment when the claim can be enforced. Case regarding the Claim of Rights under the Securities and Exchange Act The injured person claims compensation
terms or fails to perform obligations under the contract. A securities issuing company defaults in payment with respect to debentures. Ten years from the moment when the claim can be enforced. Case