. Suggestions will be considered to improve the rules so that they do not impose burden on issuers in practice. For example, scripts may be submitted for SEC’s approval instead of audiovisual clips

’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will

such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval

company, asset management company, derivatives business, and financial institution or commercial bank receiving approval to provide services). The SEC proposal also aims at raising significance of

of duty is found.  The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business

Cabinet?s approval, has prescribed 14 additional goods and variables. Thailand Futures Exchange (TFEX), meanwhile, has scheduled the launch of silver futures in this coming June. Given this background, the

. SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009, the SEC suspended {A} for three months from June 17, 2010 and reprimanded {B}. The SEC also recorded their

(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing