supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
Abritation For filing a complaint or sending an inquiry, please use any of the following channels (During business hours) : e-mail : complaint@sec.or.th Telephone : 1207 press 2 (complaint) or
advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions Abritation For filing a complaint or sending an inquiry, please use any of the following channels (24
position in Accounting or Finance Department whose rank is not lower than departmental manager. The inquiry is on the interpretation of the term “person holding executive position in Accounting or Finance
process, or does but fails to pay the fine, in whole or in part, as ordered by the Criminal Fining Committee, the SEC Office shall file a criminal complaint with an inquiry official (under the Royal Thai
. The inquiry is on the interpretation of the term “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" as to whether it includes every
ground for the SEC Office to file criminal complaint against such person with the inquiry official, and being under investigation by the inquiry official, or under consideration and prosecution of the
, the SEC shall file a criminal complaint with the inquiry official of the Department of Special Investigation (DSI) or the Economic Crime Investigation Division (ECID) of the Royal Thai Police, depending