At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken

Building.In her speech, SEC Secretary-General emphasized the importance of the Three Lines of Defense, which include the Board of Directors, the Audit Committee, and the Auditor, in fostering good corporate

Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel

' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded

account long-term benefit to the company, providing that ESOP participants must have specified qualifications and be active agent when exercising his or her right to purchase securities under ESOP.  Besides

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

, the SEC filed the criminal complaint against her with the DSI for further criminal proceedings. In any case, filing a criminal complaint commences criminal justice administration whereby any person

suspended {A} from her duty as the approved securities investment consultant for one month, effective from June 27, 2014.

records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make

must be filed with the DSI.    Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity