are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to

. Vorapol Socatiyanurak added that ?The SEC is well aware of the necessity to develop more speedy and accurate e-Filing system in order to lift up the quality of information dissemination service for

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the

explanation from the company directors in order to make a prudent decision on their voting. The SEC requires that any material acquisition and disposal of assets subject to the shareholders? approval must have

of their salespersons. Moreover, the rule will introduce more convenient tools and channels for investors to obtain better understanding on products being offered to them in order to make well-informed

inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The

of debt securities collateral, in order to enhance their efficiency. SEC Secretary-General Vorapol Socatiyanurak said the SEC held a meeting with Interior Minister Charupong Ruangsuwan, the ministry's

of debt securities collateral, in order to enhance their efficiency. SEC Secretary-General Vorapol Socatiyanurak said the SEC held a meeting with Interior Minister Charupong Ruangsuwan, the ministry?s

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being