stakeholders into the planning process. It is also in line with the 20-year National Strategy, covering five key areas as follows:(1) Democratized access to wealth advice: Promote providers of investment advice
project, auditors will be classified into 2 groups: (I) auditors for companies in capital market and (II) auditors for companies to be listed on SMEs board which will be launched in the future for
, providing that the SEC will prescribe appropriate initial subscription by taking into account the instruments? complexity and risk level.At the first stage, the SEC will allow offer for sale of ?unrated bonds
competition or drawing, seeing that the promotion could lead to inequality as the winner will get higher returns than others. The SEC will accordingly take into account the principle in revising regulation
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