PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
Statistics of Administrative Sanction (As of 31 May 2023) Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator Personnel Director & Executive
in a governmental agency, the SEC Office, the Stock Exchange, the over-the-counter center or the Derivatives Exchange, who is in the position or the condition that can access inside information through
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
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
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
Iran after the country was previously sanctioned before the US revoked the sanction of the 8 countries, thus leading to excess crude supplies in the market. In addition, the bearish US stock market
Governance of Publicly Traded Company - Definition (Section 89/1) - Qualifications and the removal of directors and executives (Section 89/3 - 89/6) - Duty and responsibility of directors and executives (Section 89/7 - 89/14) - Shareholders’ rights under Chapter 3/1 (Section 89/26, 89/28, 89/30) - Shareholder’s right to bring a derivative action and a private lawsuit against directors and executives (Section 89/18 - 89/20) - Criminal liability of directors and executives (Section 281/2, 281/3, 2...