clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

. As the said four alleged offenders declined to enter the settlement procedure, the SEC therefore filed the criminal complaint against them with the DSI for further legal proceedings.  In any case, the

Bangkok, July 7, 2015 ? The SEC is revising rules on private placement (PP) of newly issued shares to protect existing shareholders and prevent the exploitation of this means for the benefits of any

statements preparers and CFOs. In any case, auditors and audit committees will still be required to verify the accuracy and completeness of financial reports.?A well-balanced ecosystem whereby accurate and

fund scheme is not allowed.  In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all

illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely.  {A}'s actions were deemed using client

of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised.  In addition, asset management company or seller may

  simply notifies the SEC of the outsource activities at least 15 days in advance.  In case of outsourcing to any other person, business operator is required to seek the SEC approval and outsourcing

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

the revision related to default investment policy of provident fund with employee?s choice. In case where employee who is a member of such fund did not assign any particular investment policy, fund