determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
and business disputes; ● Complaints barred by prescription or limited by time to gather evidence as specified by law. Matters under the SEC Responsibility Complaint Handling Procedure Samples of
Stock Exchange Seminar, Bangkok, May 11, 2011 Time for capital markets in Asia to rise Speech by Mr. Thirachai Phuvanatnaranubala, Secretary-General, SEC Thailand and Chairman of the ASEAN Capital Markets