, agencies, companies or related parties. When such fraudulent schemes are found, suggestions for deterrence actions to be taken include issuing investor warnings through the organization’s web site(s) and
, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
Characteristics of Company Directors and Executives dated April 23, 2010. Such person shall thus be removed from any director or executive position of issuing or listed company and shall not maintain in such
characteristics of director and executive at any issuing or listed company for a period up to 3 years to be specified by the SEC.In case of Ornsiri, her assistance to Assavin?s insider trading was an offence under
been implementing several measures for preparing market participants for the amended rules. More emphasis is on sufficient and reliable disclosure of information by issuing companies and financial
, as part of the charge.The prosecution has resulted in the aforesaid persons unqualified for holding the positions of director or executive of any issuing or listed company while they are under legal
effect. The issuing companies are required to prepare notice calling a shareholders? meeting with thorough information on dilution effect caused by CD issuance including 1) number of shares reserved for
director of any issuing and listed company. In any case, filing a criminal complaint commences the criminal justice administration whereby the consideration whether a defendant is guilty will be proceeded by