derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The

.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that

advertisement from Kasikorn Bank Plc., as this issue of debentures contains more complex conditions than general debentures.In case where the debenture issuer exercises its right to early redemption and to defer

for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing

Bangkok, February 3, 2011 - The SEC is seeking public comments to relax regulations on minimum IPO period and registration of assets in case of general mutual fund to facilitate more flexibility for

scopes and forms to be in line with the financial statement forms, which have been revised earlier, and the waiver of duties on preparation and filing of certain forms in case of ceasing business operation

prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to

operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the

Bangkok, July 15, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing counting unitholders? votes in case of multi-class funds, including retail funds, property funds

companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the