Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
) in case of prohibited characteristics in Group 1 under Clause 29 or prohibited characteristics in Group 2 under Clause 30 (1) to (3), the SEC Office shall revoke the approval; (2) in case of prohibited
prohibited characteristics under Clause 5(1) to (3), the SEC Office shall revoke the approval; (2) in case of the second category of prohibited characteristics under Clause 5(4) or (5), the SEC Office shall
case of prohibited characteristics in Group 1 under Clause 29 or prohibited characteristics in Group 2 under Clause 30 (1) to (2), the SEC Office shall revoke the approval; (2) in case of prohibited
authorized person acting on behalf of the juristic person, as expressly demonstrated by the intention of the juristic person or the non-juristic group of persons and such juristic person or the non-juristic
information has been submitted by us, as an authorized person acting on behalf of the juristic person, as expressly demonstrated by the intention of the juristic person or the non-juristic group of persons and
30 (1) to (2), the SEC Office shall revoke the approval; (2) in case of prohibited characteristics in Group 2 under Clause 30 (3) or (4), the SEC Office shall either suspend or revoke the approval
appeal? The SEC Office reconsider- action Revoke or amend the order Administrative Court The SEC Board consideration Is the appellant satisfied? The SEC Office imposes the sanction. Administrative Panel