violations. In following this manual, if any wrongdoings are found, the business operators are encouraged to report the cases to the SEC and verify that sufficient risk management and control systems have

Company Limited. The 180-day period of asset attachment, starting from the date specified in the order, will expire on 1 January 2024.*The wrongdoings subject to the SEC’s criminal complaint in this case

. However, attending the said board meeting does not clear any directors from wrongdoings in the past. If any of them are found to have obstructed a shareholders meeting or prevented it from taking place

manager, failed to supervise his subordinates ({B}, {C} and {E}) in performing their duties causing the aforesaid wrongdoings in violation of law on securities and exchange and relevant rules; classified as

regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an

in case of complaints or issues on misconduct of directors or executives of listed companies under the Securities and Exchange Act B.E. 2535 (1992) to enhance flexibility of work process and

auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

ก.ล.ต. เปิดเผยพระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ เน้นเพิ่มประสิทธิภาพการบังคับใช้กฎหมาย เพิ่มข้อกฎหมายเกี่ยวกับการป้องกันการกระทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์ (market misconduct

? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from