business offenses became more efficient thanks to the close collaboration with relevant agencies and the improvement of investigation procedures. Fine settlement cases reached 80, up by 67 percent, with a

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16

approximately 25.1 billion baht and 29 billion baht. According to the investigation, the planner for EARTH at the time of the SEC order (EY Corporate Advisory Services Limited (EY)) had prepared and submitted

the status of approved investor contact for three months as from September 1, 2011. In case of {B}, the SEC received a report from Bualuang Securities Plc. on its investigation which was conducted upon

KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and

Investigation (DSI) after he had refused to enter the settlement process for aiding and abetting the share price manipulation of RCI on May 2 2008, which is in contravention of Section 243 (1) in conjunction with

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the

will be made available. Other actors The Standards are also a useful guide for other actors in the value chain to frame inquiry, assessment and decision-making about an Enterprise’s impact management