According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above
Entitled “WEPs Principles to Actions,” the workshop was conducted in partnership with the Securities and Exchange Commission, Thailand (SEC), and Thai Listed Companies Association (TLCA), as part
business opportunities or undertake actions to generate returns which will be reflected in the securities price or provide good returns to shareholders. The potential impacts and risks to shareholders
estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the
long term. Principle 3.5 The board should ensure that all directors are properly accountable for their duties, responsibilities and (in-) actions, and allocate sufficient time to discharge their duties
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
Earnings Management • Earnings management includes both legitimate and less legitimate decisions by manager to change accounting policies or real actions in order to smooth earnings or achieve some specific
Review Report) the results of the inspections with specific corrective actions? 3 Does the firm communicate the results of the inspections at least annually to engagement partners and other appropriate
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public