of further legal action.    The criminal complaint above has caused the two individuals to have untrustworthy characteristics as director and executive of securities issuing company and listed company

potential impacts on the bondholders both in cases of approval and decline of approval for the above matters with respective supporting reasons, and clearly provide information to the bondholders together

significant effects. In addition, the proposed amendments to the IPO regulations above shall apply to both Thai and foreign companies seeking a primary listing* and a secondary listing.**The consultation paper

statements. As the acts of the 10 offenders mentioned above are considered contravention of Section 312 and Section 281/2, paragraph 2, in conjunction with Section 89/7 and 89/7 in conjunction with

in cases of approval and decline of approval for the above matters with respective supporting reasons, and clearly provide information to the bondholders together with the opinions of the bondholder

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

.   The acts of the 11 persons above, namely GGC former director and executive and their associates, were liable to offenses under Paragraph 2 of Section 281/2, in conjunction with Section 89/24, Section

the sufficiency and appropriateness of these mechanisms are assessed annually must be put in place. SEC has published a hearing document on the above matter on SEC website, available at