) (“the Emergency Decree”), has a financial condition that may cause damage to clients and a management structure and personnel that are deemed inappropriate and insufficient for efficient and responsible

of transactions as per clients’ orders under (3).The SEC emphasizes the importance of monitoring financial condition and liquidity of business operators to make sure that they comply with the

special facility. The facility will remain open until the market condition returns to normal. BOT’s preliminary estimate of eligible bond mutual funds is approximately one trillion baht; 2. Corporate

), the shareholders should not  ratify this transaction because the agreement contains a condition  requiring GSTEL to appoint the Mahachai Group as its sole sales distributor for a period of five years

, allowing employees whose membership ends due to leaving their employment as opposed to retirement to receive installment payment from the fund, and allowing employees who meet the retirement condition but

guaranteed while in fact such rate was only a condition for auto redemption, not an estimate return. In any case, TBANK has already paid a compensation for the damage incurred to the customer.The demeanors of

that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted

for auction as metal scrap. This resulted in AMAC?s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of

specifying securities, amount and price. The clients accepted his trading decision without asking for any information on market condition or relevant securities. In Kacha case, the SEC found that he did not

prices of Mida Leasing Plc. (ML) in 2008 and 2010 and Max Metal Corporation Plc. (MAX) in 2010. Upon a referral from the Stock Exchange of Thailand with regard to irregular trading condition of ML shares