the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
, there shall be a change of service provider or any action, as deem appropriate, for the best interest of the clients in order for the service provider to comply with this Notification or other rules
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
ready for retrieval or inspection by the SEC Office upon request. (1) the persons under Clause 5 and Clause 6 of the intermediary who is a financial institution established under other laws and licensed
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
be maintained in such a manner of ready retrieval for promptly viewing and inspecting by the SEC Office; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action