criminal complaint against Sureeand Chompoonuch for involving in KMC share price manipulation scheme during January 2 ? October 7, 1992. The public prosecutor later issued a prosecution order and filed a

).  Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take

wrongdoing.In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to

at 235/15, Sukhumvit 31, North Klongtan Sub-district, Wattana District, Bangkok ? and Mr. Robbirt solicited them to make investments based on the company?s advice and management in order to gain tax

DSI a favor to inform the SEC of the matter within 30 days in order to allow the SEC to consider the application for establishment of the fund within the specified period.

, proposing recommendations, and distributing a checklist, in order for listed companies to improve their information disclosure.For an informed investment decision, investors need to analyze MD&A in the Form

., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies.  Evidence indicated that she had performed her duty dishonestly in order to obtain

suspicious transactions, as well as issue an order to seize or freeze any assets relating to the offenses under such Act. Furthermore, under the Counter-Terrorism Financing Act, the above reporting entities

Secretary-General said that ?The SEC foresees the importance of collaboration among independent audit regulators around the globe in order to share their common inspection findings, especially in the group of

trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital