objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most

therefore reviewed the regulations regarding the operational guidelines for AMCs in case of incorrect pricing. This is to provide AMCs with greater flexibility in fund management, while ensuring that

สภาพการเปลี่ยนแปลงดังกล่าว จึงปรับปรุงเกณฑ์ใหม่โดยกำหนดให้ขนาดของเงินกองทุนแปรผันตามความเสี่ยงของธุรกิจ โดยเฉพาะอย่างยิ่งความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่งจะแปรผันตามขนาดและปริมาณการประกอบ

test may confirm the past result without having to redo the test. The regulation will become in force as from 1st July, 2012 for preparation of relevant operational systems.   

in part of disclosure of financial condition and operational result, corporate governance and business takeover will be relaxed. Such foreign company will, however, be required to comply with foreign

} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor

Q1/2012 operational result with 67.14 million baht net profit. Later, during August 8 ? September 13, 2012, he purchased CMO shares through another person?s trading account based on the information

for enhancing operational efficiency under the ?SEC Centerpoint? Knowledge Management Project. The project has allowed the SEC staff to learn, exchange, and apply the knowledge acquired from work

statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and

as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall