. Based upon these evidences, the SEC believed that Shine, Pataman and Supichaya had colluded to defraud other investors by making false appearance about trading in SLC shares using trading accounts and
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
the cause of the problems, suggest solutions to the problems, report the incident to executives, and retain relevant evidence and documents available for viewing or inspection by the SEC Office upon
capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon the recommendation of the Minister of Finance, the Governor of the Bank of Thailand, the