the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the date on which this

SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a

such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities

Polaris Capital Public Company Limited When Polaris Capital Public Company Limited ("POLAR"), which was authorized by Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay, had the duty to

Listed Company, as this is the case where INGRS joins in a joint venture with another company with an investment of 10 percent or more of the paid-up capital of the joint venture company and also where

SEC Deputy Secretary-General Tipsuda Thavaramara said: "Capital market and financial technology are advancing fast, pushing securities businesses to increasingly diversify their operation and

had the behaviors prescribed under Clause 16 more than ten years ago or such behavior is not so serious that the person should not be entrusted to perform duty as auditor in the capital market, the SEC