sanction appropriate for the presented facts of each case, and the imposition of all five sanctions in all cases is not required. In the case where the offender agrees to comply with the civil penalty
defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for
Sanction Administrative Sanction Civil Sanction Annual Statistics Cases of Enforcement SHARE : For More Information ContactUs
Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied
criminal penalty specified in Section 281/1, including the involved executives. Q: Does whistleblower protection measures cover auditor? A: Yes.
criminal penalty specified in Section 281/1, including the involved executives. Q: Does whistleblower protection measures cover auditor? A: Yes.
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
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them to penalty imposed by their respective regulators. Q: What does the term, “making a decision for the best interest of the company" mean? A: It means that the decision has been made with honest
own interest at the expense of a third party, e.g., bribery. The United Nations defines corruption as a complex social, political and economic phenomenon that affects all countries (UNODC, 2009