check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

to be insufficient for the provision of audit service to listed companies and potential fundraisers in the capital market that are expected to increase upon economic recovery. To address this issue

suspension of PVD contribution. In addition, upon readiness of employers, it is advisable to resume contribution as promptly as possible to support employees in building the adequacy of their retirement income

savings amount upon retirement is 3 million baht or 12,500 baht per month for 20 years.        

ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the

provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities

those 13 offenders in the Civil Court for imposition of the applicable statutory maximum penalties, based upon the details of individual case of manipulated shares, which collectively comprise a fine

investor contact for six months as from June 23, 2011. In case of Kruawan, the SEC received the report from United Securities Plc., on its investigation which was conducted upon complaint lodged by a client

Vorapol Socatiyanurak. As agreed upon the joint meeting of the SEC and AIMC, in case of irregular foreign ETF closing price, asset management company may use indicative NAV of foreign ETF calculable from

of acquisition or disposal of assets for the listed companies, to notice to the SET is a must. Circulate letters shall be sending to the shareholders to acknowledge within 21 days counting upon the