code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
and investment, in order to become quality investors and fundraisers. Investors will experience how to be quality investors, who are able to uphold the responsibility regarding their own finance and
Benefit Blue Company Limited During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat
systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13
which may cause serious damage to the benefit of the people. SEC Act S.117 133 paragraph 2 and 136 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13/03/2020
settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order No. 47/2013
price settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order
reviewed to be more consistent with the current market landscape. This will benefit further development of international cooperation to be more comprehensive and efficient.