> Annual Statistics Enforcement SHARE : Detail Content Annual Statistics Criminal Sanction Administrative Sanction Civil Sanction Annual Statistics Cases of Enforcement SHARE : For More Information
Sanction is a recent enforcement power added by the Securities and Exchange Act (No. 5) B.E. 2559 (2016) and the Emergency Decree on Digital Asset Businesses of 2018 in order to improve efficiency of law
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
Council of State agreed to apply the principle of Class Action to the cases which have numerous victims affected by tort, breach of contract or damage derived from a violation of specific law, to protect
Documents / email/messages related to the application and services Advertising/solicitation documents or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or
affected by tort, breach of contract or damage derived from a violation of specific law, to protect the injured persons. Accordingly, the principle of Class Action has been enacted as part of the Civil
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently