to a penalty per established conditions. 3. To enhance efficiency in reorganization of debtors in general, the amended law facilitates them to lodge a petition for reorganization to the court without
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
violations; 1.4.2 There are procedures for suitable and timely punishment or management of the violations; 1.4.3 There are timely and suitable corrections for the violations of rules for integrity and code of
about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai capital market to become the essential mechanism driving sustainable economy and determined to perform that
by the Stock Exchange or the derivatives exchange and such regulations is the same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such
Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons
association relating to securities businesses which has been approved by and registered with the Office and whose main objective is to promote and develop securities businesses in the category of investment
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning