gratuity. In this regard, the information on wrongdoing and the application for bounty can be filed either with the SEC or the Department of Special Investigation (DSI), while the application for gratuity
securities. Otherwise, the SEC will strictly pursue legal action against such wrongdoing as insider trading deteriorates investors? trust as well as confidence in the capital market.?
December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an
in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
the interests of the bondholders. However, Mr. Chalanatee failed to give the necessary directives or to take actions required of him. Mr. Cholnatee is therefore responsible for the misconduct arising
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
ก.ล.ต. เปิดเผยพระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ เน้นเพิ่มประสิทธิภาพการบังคับใช้กฎหมาย เพิ่มข้อกฎหมายเกี่ยวกับการป้องกันการกระทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์ (market misconduct
and rapid legal enforcement. Meanwhile, the Government will support expediting legal amendments to restore confidence by enhancing the efficiency of preventing wrongdoing in the stock market and by