companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian

securities products to the public without official permission from SEC. Investors are warned not to believe the advertised projects when approached to enter into investment contracts with Ronghui in the

principles for such kind of fund conversion.The key provisions include (1) permission to pay for the purchase of property fund assets during the fund conversion process with trust units or combination of trust

Bangkok, March 15, 2011 ? The SEC will propose permission for precious metals business operators to undertake derivatives business limited to brokerage of precious metals derivatives, as part of the

and international levels.    The proposed amendments cover permission for persons other than securities issuers to apply for securities listing on the Stock Exchange of Thailand (SET) while those who

underwritten by them. The permission will cover either trading to hedge derivatives positions that underwriters already have or trading of shares in SET50 or SET100 subject to certain conditions.  In addition

information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation

policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to

into a Consent Conditions Undertaking (CCU) with the three investors, which resulted in an obligation for PACE to repurchase a certain amount of the preferred stocks. Because the CCU may cause a

return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has