…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________
derivatives exchange and such regulations is the same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their
ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
related penalty provisions shall apply to the register and transferability of any other securities as specified in the notification of the SEC under Section 33, mutatis mutandis. In cases where the SEC
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
own interest at the expense of a third party, e.g., bribery. The United Nations defines corruption as a complex social, political and economic phenomenon that affects all countries (UNODC, 2009