PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator
a derivatives contract related to securities, either for oneself or other persons, except in the following cases: (a) action in compliance with the law, the court’s order, or the order of an agency
, securities index or any other variables as specified in the notification of the SEC with the approval of the Cabinet. “derivatives” means a contract having one or any combination of the following
this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
client. Clause 12/167 In providing services as a derivatives dealer to a client who is a juristic person as prescribed in Clause 6(2), the derivatives dealer shall engage in a derivatives contract for
client. Clause 12/167 In providing services as a derivatives dealer to a client who is a juristic person as prescribed in Clause 6(2), the derivatives dealer shall engage in a derivatives contract for
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
Page 1 of 2 No. ACC6101/003 January 22, 2018 Subject: Approval to enter into Contract to buy and sell of Land To: President The Stock Exchange of Thailand According to the Board of Director’s Meeting