may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
, information and operational updates of the SEC and, vice versa, an opportunity for them to express their constructive views and comments. The SEC also arranged for study visits for students and personnel from
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the
://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2003.pdf Annual Report 2001 of electronic trading platform for the trading of debt instruments and to define it as another type of securities businesses. The study is
( https://linkagemgmt.bora.dopa.go.th ), for example, data from the Department of Legal Execution, the Anti-Money Laundering Office (AMLO), the Department of Special Investigation (DSI), and the Narcotics