total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
inquiry official later notified that the acts of the four offenders were not an offense under such Law and therefore returned the cases to the SEC for criminal fining under Section 317 of the SEA.
The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will enable the Agency to bring more legal actions, either criminal or civil, against offenders. Whereas...
juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนา หัวข้อ “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases
The SEC is also working with the DSI in accordance with the bilateral Memorandum of Understanding for Cooperation to investigate EARTH’s suspicious acquisition of the legal rights over coal mines in Indonesia. The legal action in the case of EARTH has already been notified to the Anti-money Laundering Organization (AMLO). The criminal complaint has been filed against EARTH and its three directors, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in...
this issue. The SEC has noted instances of both kinds, 1. Leadership responsibilities for quality within audit firms Key inspection findings 16 In de pe nd en t Au di t In sp ec ti on A ct iv it ie s Re
www.sec.or.th/scamalert or email: scamalert@sec.or.th. The SEC will verify and further investigate all submitted cases promptly and notify relevant authorities to remove fraudulent contents or channels used for
/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process