with the SEC directly in harmony with the requirements imposed on other types of bonds. The key points of the proposed amendments to the relevant regulations are as follows: (1) To streamline the
considered to settle his current case with harsher punishment.
guidelines would not impose excessive burdens on audit firms and auditors and would specify penalty alternatives that focus on appropriate proportionality of punishment to offense. The consultation paper
sustainably in harmony with the environment in every dimension. SEC Secretary-General Rapee Sucharitakul said “SEC is committed to strengthening the capital market for growth and sustainable development by
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
consequently criminal punishment. If other actions of POLAR executives are found to be liable to any offence under the Securities and Exchange Act, the SEC shall take legal action strictly in due course
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
) remuneration and punishment which is based primarily on service quality; (4) complete, clear and accurate sales process which must not mislead or be a nuisance to customers; (5) effective employee communications
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final