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

years as from May 12, 2011.

or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years

conversion prices are calculable by a formula based on future share prices; and 3) dilution effect calculation in case that all conversion rights will be exercised.?In the past years, we have witnessed uptrend

his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension

, or service providers with at least five-years of related experience. In case of outsourcing to any other persons, the SEC?s prior approval is needed. The SEC?s consideration will focus on business

application for approval as capital market personnel for the period of five years, effective from July 17, 2013. Importantly, using client accounts for the benefit of themselves or others is considered as the

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

., imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the violation ends.The SEC, therefore, filed the criminal complaint against the three

violation of Section 243 (2) and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992, i.e., imprisonment for a term not exceeding two years or a fine not exceeding twice the