severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
to act in any manner that may contravene the securities laws, without a chance of avoiding such order, is the company secretary liable to contravention of such laws as well? If so, what penalties apply
to act in any manner that may contravene the securities laws, without a chance of avoiding such order, is the company secretary liable to contravention of such laws as well? If so, what penalties apply
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
Detailed explanation concerning particular risk on the company Chance of risk occurring Effects on the company if the risk occurs Type of operation Important points What kind of business does the company
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
Seminar 2020 ตอนที่ 1 “Power of the crowd: ฝ่าวิกฤต COVID-19 ด้วยคราวด์ฟันดิง" SEC Fintech Virtual Seminar 2020 ตอนที่ 2 “พลิกโฉมธุรกิจ SME: โอกาสใหม่ในยุค COVID-19" SEC FinTech Virtual Seminar 2020 ตอนที่