found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the

Bangkok, May 26, 2014 ? The SEC requires an application and information disclosure for offshore offering of convertible debentures (CD) be jointly prepared by CD issuer and SEC-approved financial

Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to

attending the meeting and having the right to vote as follows: Voting results Votes % of the total number of. Shareholders who attend the meeting and voting. Approved 555,568,839 100.00 Disapprove - 0.00

Bangkok, March 28, 2012 ? The Bank of Thailand (BOT) has approved the proposal to allow retail investors to invest in derivatives traded on foreign derivatives exchange without limiting investment

requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or

sufficient information disclosure for shareholders? decision-making. Under the proposal, an application for offshore convertible debenture offerings must be jointly prepared by SEC-approved financial advisor

Bangkok, March 3, 2014 ? The SEC Board approved the amendments to regulations on trustee of real estate investment trusts (REITs) to enhance flexibility and facilitate REIT development.Vorapol

without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the