clear, and to amend the rule to be more flexible as that the use of proceeds which differs from what stated in the filing will be required to obtain an approval from a shareholders’ meeting only if the

-General.“Class action is another legal mechanism that can help with the redress and relief of those investors or shareholders having suffered from securities law infringements. So, this “Class Action

), with the intention to impersonate and claim that their investment solicitations have been approved by the SEC* or the aforementioned organizations, causing considerable harm to the public. The SEC

found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund

orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared

and related companies, namely Adamas World Ltd., Adamas Consumer Ltd., News Multimedia Ltd. and GG News Ltd. The independent financial advisor (IFA) opined that ADAM shareholders should not approve the

that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First

trading volume to be inconsistent with the normal market condition, the SEC probed into the case and found that Prasong as the owner and beneficiary of 14 securities trading accounts of foreign juristic

proportion in core business from the minimum of 75% of the total number of voting rights to that of 50%, strengthening investor protection by revising rules on holding company?s investment structure to ensure