ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing
reviewed/audited financial statements by July 2, 2014.The SEC found that the auditor expressed the adverse conclusion on PRO interim financial statements for the first three quarters of 2012 concerning no
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
Bangkok, November 9, 2010 ? The SEC Board Meeting No. 14/2510 today passed a resolution permitting foreign exchange traded funds (ETFs) to be listed on the Stock Exchange of Thailand (SET) on the
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
efficiency of fund establishment. The waiver may be granted if there is no effect on Thai investors and without conflict with host jurisdiction regulations on investor protection, such as determination of
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor