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

reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

{A} for executing their trading orders.{A} later resigned from Globlex to work for KTB where she made trading orders in the derivatives accounts of several clients who had given her their usernames and

Mr. Yanyong Intarasongkarw Mr. Yanyong Intarasongkarw joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of

Mr. Ekkavit Kamontaypa Mr. Ekkavit Kamontaypa joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing

Mr. Siwasit Sainumphung Mr. Siwasit Sainumphung joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mrs. Woranan Lertkultum Mrs. Woranan Lertkultum joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mr. Panurak Saengaram Mr. Panurak Saengaram joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing and

Mr. Suvit Pipatvilaikul Mr. Suvit Pipatvilaikul joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing