Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
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
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
89/7; (4) allowing any person to use one's own securities trading account or banking account for payment of securities trading, or using any person's securities trading account or banking account
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
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
handling of whistleblowing complaints, including the investigation, any remedial action, and reporting to the board. 6.5.3 The board should ensure that whistleblowers are protected from retaliation as a
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification 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