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4. Disciplinary Committee
Support unit :
Enforcement Department
Structure:
Five members. At least one member must be a SET governor. One person must have expertise
and experience in the businesses of SET, brokerage or financial firms. One person must be a legal expert.
It has to include the SET president or an executive at senior vice president level or above as delegated by
the SET president.
Term:
January 1, 2015 to December 31, 2016
Name
Position
1. Suthep
Peetakanont
2. Professor Kitipong Urapeepatanapong
3. Pattera
Dilokrungthirapop
4. Sutthi
Sookying
The SET executive at senior vice president level or above, as delegated by the SET
president
Chairman
Member
Member
Member
Member
Responsibilities of the Disciplinary Committee are:
1. To examine any alleged wrongdoing and punish any
individual or juristic person who violates or associates with
others in violating SET’s rules and regulations, and report
the punishment to the SET BoG, except in cases concerning:
(a) securities delisting
(b) temporary trading suspension of a member company
(c) membership revocation
(d) other cases as specified by the SET BoG
In the exceptions above, the Disciplinary Committee
will examine facts and evidence, then report the
findings with recommendations to the BoG for action.
2. To examine and give explicit instructions according to SET’s
rules and regulations, including taking any other action
necessary for the disciplinary process