take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
financial statements by March 8, 2013. This was because the SEC found that the company?s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the
the universe of financial products and services for investors.The regulations will emphasize on information disclosure and appropriate level of investor protection. Foreign companies intend to raise
Bangkok, November 26, 2014 - The SEC revealed that the Settlement Committee fined {A} {B} and {C}, as principal, along with two aiders and abettors, namely {D} and {E} for using inside information to
Bangkok, October 7, 2013 ? The SEC and the Agricultural Futures Trading Commission (AFTC) signed a Memorandum of Understanding (MoU) to cooperate in exchange of information on the derivatives
needs and getting to know various financial products. Also, information to share with the visitors includes how to plan asset allocation with risk diversification; properly select securities companies
financial benefits from trading derivatives on non-public information concerning JAS, i.e., dividend payment for the year 2015 and a repurchase scheme at the beginning of the following year, which he had
Mr. Wichai Thavornwattanayong Mr.Wichai Thavornwattanayong, former chairman of IFEC and the authorized person to disclose information through the SET’s information disclosure system (ELCID), failed