actions if the exchange violates laws, rules, regulations, or orders; (5) enhances the supervision of auditors who audit financial statements of securities exchange and over-the-counter center
gather related documents and information. If any directors or executives of IFEC, past and present, are found to have been involved in any wrongdoings, the SEC will take prompt and swift legal actions
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
those 13 offenders in the Civil Court for imposition of the applicable statutory maximum penalties, based upon the details of individual case of manipulated shares, which collectively comprise a fine
. Based upon these evidences, the SEC believed that Shine, Pataman and Supichaya had colluded to defraud other investors by making false appearance about trading in SLC shares using trading accounts and
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