possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
of Possible Contraventions of the SEC Act B.E. 2535 75 International Relations 79 The SECûs Financial Statements 96 Our Website (www.sec.or.th) APPENDICES SCE_Eng_p.1-16 10/29/04, 1:05 AM3 4 MESSAGE
adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
the impacts of possible emergencies. The SEC's Disaster Recovery Center (DRC) located at the Bank of Thailand's Office, Suriwongse Road, was established as a backup facility and temporary office for off
impede staff operation. All departments were required to set up their separate contingency plan to alleviate the impacts of such emergencies and ensure normal and continual operation of businesses in the
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription, issuance and settlement of securities, and organization of