will be proposed to the ?Director Responsibilities Steering Group?, chaired by Mr. Sompol Kiatphaibool, the SEC Commissioner, for consideration regarding administrative sanctions, such as warning

?s specific risks, for example, country risk and currency risk in case of foreign investment funds (FIF), be disclosed in the fund prospectus and financial reports. A warning statement relating to

to inflict the punishment upon the offender. Consequently, the court ruled against her for being a director of a company whose securities are listed in the securities exchange, she shall be liable to 5

Sanction Committee has resolved for the SEC to impose civil sanction on the seven offenders in the form of civil penalty, which was considered based on the benefit received by each offender. Porameth signed

petition will be submitted to the Court seeking an order of a 2-million-baht civil penalty on each offender or 6 million baht in total in addition to the reimbursement of 102,132 baht for the investigative

executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil

specified by the Civil Sanction Committee, and (5) prohibit the offender from trading securities on SET or securities trading center or entering into derivatives contracts on the Derivatives Exchange for

nature of the mutual fund’s utilization of its assets may cause uncertainty to the amount of its earnings, a warning that unitholders’ benefits or returns may be significantly affected, etc.; (3) a warning

การเตือนภัยล่วงหน้าเกี่ยวกับการดำรงฐานะทางการเงินของบริษัท (early warning system) เพื่อให้บริษัทมีเวลาที่เพียงพอในการเตรียมการหรือดำเนินการใดๆ ในการ จัดสรรเงินทุน หรือแก้ไขปัญหาการดำรงฐานะทางการเงินที่

the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to