shares from January 9, 2006 to January 25, 2007, the SEC probed into the case and found that Pattanapong had traded ASCON shares through trading accounts of five other persons in the manner that boosting
Bangkok, July 23, 2014 ? The SEC will put into effect regulations on depositary receipts (DRs) by the third quarter of this year to provide investors with more investment alternatives. Vorapol
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into
cloud computing to offer services.? The amendment to the governing regulations has taken into consideration the comments and suggestions received from the first public hearing in February this year.The
the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flexible and suitable to the current market trends. This latest draft amendment has already taken into
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
shares inconsistent with the normal market condition, to lure the public into the trading. He entered the settlement process but failed to pay the fine as ordered by Settlement Committee. The public