and platinum derivatives providing that they have adequate personnel ready to provide such services to investors,? said SEC Secretary-General Thirachai Phuvanatnaranubala. The SEC will also propose for

Bangkok, December 23, 2010 ? The Settlement Committee has imposed a total fine of 833,333.33 baht on Sinsathien Aimpoolsab and Sompis Poopiewngien for using undisclosed information they had obtained

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

Socatiyanurak, SEC Secretary-General said that ?The SEC Board approved the amendments to regulations governing REIT trustees to allow more participation in transactions with REITs, providing that they must be

which is subject to sanctions under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee therefore imposed a fine of

recognized by the SEC and have been listed on the main boards of such exchanges at least for one year, they will be deemed to have been satisfied the criteria comparable to those of the SEC. The revision aims

? anti-corruption leadership as they might start from setting up preventive measures and make progress to obtain Collective Action Coalition (CAC) certifications by 2015. If all financial intermediaries

the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee therefore imposed a fine of 5,659,269 baht on Yongyuth and another 500,000

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection