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
date on which such person is released from punishment passed by the judgment, the Settlement Committee orders such person to pay fine, or the authorities empowered to supervise and consider such person's
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following actions: 1. Suspend a filing of a new application for normal or automatic approval
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following actions: 1. Suspend a filing of a new application for normal or automatic approval
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
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
person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund management as approved, and the newly established