important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
, mobile phone numbers, email, addresses on identification cards, and gender, etc. The types of personal data the SEC Office will collect depends on the necessity of the SEC Office in the carrying out of
/ Mrs. นางสาว/ Ms. ชื่อ/ Name: นามสกุล/ SurName: โทรศัพท์/ Telephone No.: มือถือ/ Mobile No.: Email: รายละเอียด/ Details: แนบเอกสารเพิ่มเติม Add More Submit Delete ยืนยันการล้างข้อมูล × คุณต้องการ
/ Mrs. นางสาว/ Ms. ชื่อ/ Name: นามสกุล/ SurName: โทรศัพท์/ Telephone No.: มือถือ/ Mobile No.: Email: รายละเอียด/ Details: แนบเอกสารเพิ่มเติม Add More Submit Delete ยืนยันการล้างข้อมูล × คุณต้องการ
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged