to trade securities on client's behalf. In addition, it was found that trading orders were submitted by {A}, {B} or Kantanapat, or via internet in the approximate periods and sometimes were the orders

}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to

information disclosure. Moreover, it has not yet complied with the SEC and the Stock Exchange of Thailand (SET)?s previous orders requiring the company to disclose and clarify information on land purchase and

the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly

and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). Although he compensated for damages incurred to RAM in December 2014, it was after the SEC's probe had revealed such

it easier and more cost-effective for shareholders to have their say in the company?s decision-making with regard to business operation and relevant issues. We wish to see listed companies adapt these

Mekong region.  It reflected the shared visions and regional support toward the SEC Thailand?s initiatives in building a network for Mekong capital markets cooperation.  I am confident that with active

sufficient information for their decision making. It is important to note that the transactions require the shareholders? meeting approval with the vote of at least three quarters of the shareholders attending

the Stock Exchange of Thailand. Transport Minister Charupong said: ?It was a productive meeting with many key issues clarified. The SEC regulations will surely enhance the Thai capital market?s roles in