probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial

Bangkok, August 13, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing fund investment in Greater Mekong Subregion (GMS) to wider variety of investment choices. The

Bangkok, July 30, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing derivatives investment of provident funds to increase investment channel and opportunity for

Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions  to the rules concerning definition of investors and investment of mutual funds in line with international standards

Bangkok, February 13, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing the proportion of investment unit holdings in mutual funds for general investors (retail

fund in Thailand will be subject to the similar approval criteria and other relevant regulations applicable to Thai companies. Moreover, certain rules will be added; for example, corporate law governing

of interest prevention, internal control and risk management.  The consultation papers on the regulation on REIT unit issuance and offering and seven associated rules are available on the SEC website

(Form 56-1, 2015), the annual report for the year 2015 (Form 56-2, 2015) in accordance with the specified rules; and has failed to submit the reviewed financial statement for Q1/2016, the reviewed