December 2020. In the following year, the SEC revised the disclosure rules by requiring listed companies to disclose information on their environmental, social and governance actions, including climate
reported the case to the AMLO for consideration of further actions.______________________Remark: * SEC News No. 25/2023 released on 8 February 2023: “SEC imposes civil sanctions on 14 offenders for share
execution of the scheme.Their actions were in violation of Sections 243 (1), (2) in conjunction with Section 244 of the Securities and Exchange Act B.E. 2535 (1992) and Sections 83 and 86 of the Penal Code
Department of Special Investigation (DSI) for further legal proceedings.Their actions were in contravention of the first paragraph of Section 281/2 in conjunction with Section 89/7 of the Securities and
(SET) in case the business is listed on the SET.To support SMEs to fully make use of PE, the SEC has carried out five actions:(1) Revising rules to allow exemption for PE manager from holding securities
, Pongsachalerm and Chaiwat?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act of 1992 and thus liable to
, for the benefit of his own or others, also transferred the client?s deposits placed with the company to the accounts of other clients that he was allowed to use. Chalerm?s actions were deemed dishonesty
acceptance of financial assistance from a related company, despite the transaction had a major impact on the applicant?s business operation.Weerawat?s actions as financial advisor supervisor while working with
in benefits from trading of KARAT shares. Apichart?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and
actions were in contravention of Sections 307, 311, 312, 314 or 315 of the SEA, the SEC therefore filed the criminal complaint against Ratchasak and other four alleged offenders to the DSI for further legal