Police or the Department of Special Investigation) for further investigation in accordance with the Criminal Procedure Code. After that, the inquiry official will conduct a further investigation and pass
SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and
Finance; (3) the Director-General of the Department of Special Investigation; (4) the Governor of the Bank of Thailand; and ( 5) the Secretary-General of the SEC. In addition to the
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
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
แนะนำการลงทุนตราสารซับซ้อนประเภท 3 (IC complex 1 / IC complex 2 / IC complex 3) (ตารางคุณสมบัติ หน้า 38-49) - คุณสมบัติของผู้ขอความเห็นชอบเป็น ผู้แนะนำการลงทุนด้านตราสารทั่วไป (IC plain) (ตาราง
Capital Market Business Qualifications of Applicants for Approval of Applicants for Approval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex Products