the preparers? duties and responsibilities will be communicated through training courses and seminars along with the collaboration between the SEC and the Federation of Accounting Professions under His
. Investors are strongly advised to consult the SEC list of licensed and registered intermediaries under the License Check and Investor Alerts banners at www.sec.or.th. Whistleblowers may report clues or
to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was subject to a criminal fine penalty. Given that the benefit he had received was lower than the minimum fine of
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
the operation of core mass transit system under a concession dated April 9, 1992 lasting another 17 years. The said 23.5 kilometer routes consist of 23 stations connecting 17 kilometers from Mo Chit
of outstanding work made by 40 volunteers under the shareholders? rights protection campaign launched by the TIA in the past years. This aimed at encouraging them to perform their work efficiently
for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital