consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________

transactions even though the client did not come to the trading room to order the transactions herself to earn compensation at a higher amount than she should have actually received. {A}’s acts were deemed as

trading volume of MORE securities from normal market conditions, were liable to be a violation of Section 244/3 (1) and (2), in conjunction with Section 244/5 and Section 244/6 of the Securities and

, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report

Building Confidence in the Capital Market No. 55/2015 SEC requires AIE to make clarification and notifies AIE and AI to cooperate with auditors Bangkok, April 27, 2015 –The SEC notified AI Energy Plc

received must not be lower than investment grade;  (2) To appoint a bondholders’ representative;   (3) Bonds must be registered with the Thai Bond Market Association.In addition, SEC also amends the scope

the bondholder registrar provides notice to the Thai Bond Market Association less than seven days in advance of the initial closing date of the bondholder register;     (3)  an extension of the maturity