) the administrative sanction to restrict or suspend business undertaking or revoke licenses, registration or approval shall be imposed on the violation or non-compliance with any of the following

additional professional education or training); (D) a civil money penalty for each such violation, in an amount equal to— (i) not more than $100,000 for a natural person or $2,000,000 for any other person; and

period was over; (2) I was subject to the civil fine imposed by the Civil Sanction Committee with the written notice, and it has not yet surpassed the period specified by the SEC Office (the maximum period

manners. (a) being suspended or revoked an approval or having any characteristic causing termination of approval, or being taken similar action and unable to perform the duties as capital market personnel

objectives of investing in assets concerning infrastructure, property or property development business. In this regard, the establishment of such collective investment scheme shall be granted an approval for a

/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the

. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106

. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction

าหนี้เพื่อการปรับโครงสรางหนี้ การเสนอขายแก (1) ผูลงทุนทั่วไป (2) สถาบัน/ HNW มูลคาเกิน 100 ลบ. ขออนุญาต Shelf Approval 3 ป (เกณฑอนุญาตแบบงาย 1/ + จดขอจํากัดการโอนในกลุมผูลงทุน) Shelf

order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction under Section 111 in