of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
offender agrees to enter the fining process and pays for the fine in full as ordered by the Committee. The right to pursue a criminal case is terminated. Offences that could be settled by a criminal fine
for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
the company; - The board of governors of the Stock Exchange ordered a delisting of securities. The limitation period under the Securities and Exchange Act, for example: - the rights to claim
, attached, kept, or ordered to be delivered as evidence.) Section 306 (Director or manager dishonestly deceives the public.) Section 308 (Director or manager dishonestly converts property to himself) Section
rules. the company secretary may also notify the SEC Office of such information and receive whistleblower protection. Q: If the company secretary is ordered by a director or an executive to act or not