the penalties under Section 296 of the SEA, i.e., up to two years? imprisonment or a fine not exceeding twice the amount of the benefits received or should have been received but in any case no less

year (2012). Currently, the examinations of 22 audit firms have been completed where the outcome indicating that most of the firms attentively dedicated their resource to develop and improve their

in MGR?s revenues. Submitting MGR?s  incorrect financial statements to the SEC and the Stock Exchange of Thailand (SET) during 1996-1998 to deprive MGR investors of the benefits they should have

internal control and fund management and proposed AIMC to set up practices concerning internal control and management of property funds to prevent leakage of benefits that should have been given to

the SEA, i.e., imprisonment for up to two years or a fine not exceeding twice the amount of the benefits received or should have been received but not less than the minimum amount of 500,000 baht, or

businesses in their product and service offering for investors? best interest, and improves professional conduct to ensure that investors will have reliable information and efficient protection. The SEC also

high risk investment policies. Asset management company providing employee?s choice must have their members undergo the suitability test and give appropriate advice for those choosing to invest in high

. If these two persons were the approved investor contacts, the SEC would have revoked such approval status. {A} and {B}, however, did not renew their approved status as investor contacts; accordingly

Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have

given by the board and thus the transaction needed prior approval from the IEC board of directors. His acts caused IEC to have burden on loan guarantee in the amount of B1,178 million and were in