as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
Bangkok, May 11, 2012 - Following news relating to the SEC?s criminal complaints recently filed against certain persons that raised question whether the complaints would impact those persons
Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . The amount of fines does not include daily fines starting from the day following the settlement date to the day the
Bangkok, August 29, 2011 ? The SEC has directed Scan Global Plc. ("SCAN") and SMC Power Co., Ltd., to rectify their financial statements for Q3/2010 and for the year 2010. Within August 28, 2011
B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
Establishment and Management of Mutual Funds (No. 3), dated 1 November 1999, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification
Management of Mutual Funds (No. 3), dated 1 November 1999, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Management company
implement within six to 12 months following the signing of the MoU. Further details of the mutual recognition of funds scheme are set out in the SFC circular and the SEC circular issued today