of the SEC. “competent officer” means any person appointed by the Minister to perform duties under this Act. “SEC Office” means the Office of the Securities and Exchange Commission under the Securities
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
, Section 133 and Section 136 of the Securities and Exchange Act B.E. 2535 (1992). On 13 March 2020, the Settlement Committee imposed a fine of 8.06 million baht on the company. In the case of Mr. King, he
. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall