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
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
(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
trading orders and trading consultations. Thus, the actions of {B} and {C} were considered as trading securities on behalf of the client in violation of Clause 20(2) of the Notification No. TorLorThor. 3
cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office