Thienhom, SEC Deputy Secretary-General said that "In case of using customer trading order report in substitution for order ticket, the document must be prepared according to the SEC circular No. SEC.Thor

Forum of Independent Audit Regulators (IFIAR), updates on audit regulatory initiatives, audit inspection findings and case studies in respective jurisdictions. Urgent issues in relation to shortage of

, report on offering result and periodic reports must be filed with the SEC after closing period of offerings. In case of private placement, more relaxed regulations will apply.?Debt securities have gained

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and

misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He

Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and

complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities

any case, the company has no experience in running this kind of business. Although, entering into relevant agreements could facilitate the NPL management and collection business, given the overall

SEC, which is not the case at all.?  Investors are strongly advised to check whether solicitors have properly obtained a license from the Ministry of Finance or the SEC at www.sec.or.th under the