methodology and assessment of the Scorecard has been revised to take into consideration increased investor expectations, and developments in business and corporate governance practices.The revised Scorecard
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
providing them with more information in response to development in capital market and new products. In addition, the rules on fund?s investment diversification must also be revised by taking into account risk
. The SEC probed into the case and found that {B} traded securities on behalf of his client. He submitted trading orders through client's account and informed him afterwards. He also traded securities
exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the
the shareholders? meeting to enter into related party transaction with Ua Withya Plc (UWC) to purchase shares of Imperial Land Company Limited (IMP) and the claim over outstanding loan and accrued
report of Country Group Securities PCL, the SEC probed into the case and found that {A}, a securities investment consultant and the executive vice president of the branch, traded securities on behalf of
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded
subsquently strengthen market credibility, balanced market ecosystem, efficiency and competitiveness. Well-rounded perspectives and practicality are taken into account in response to increasing varieties of