Bangkok, January 21, 2013 ? The SEC participated in the International Forum of Independent Audit Regulators (IFIAR)?s global survey with a view to making further progress in improving audit quality
Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant. The client
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
Board has already approved guidelines for accommodating the integration of the two futures markets, AFET and TFEX, which will generate further benefits to the country in terms of economy of scale. The
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information
nationwide, the governing regulations allow infrastructure funds to provide products and services to non-state clients as well. We welcome feedbacks and suggestions for further developing such instrument for