convergence with international standards of securities offering with an emphasis on (1) adequate and reliable disclosure of relevant information for investors? informed decision making, (2) professional roles
company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in
already submitted where a number of transactions had no details of either amount or price of securities. From the record, in addition, the client sometimes allowed him to make trading decision and the
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
subscription price. Both cases may therefore affect the benefit of securities holders and investors? decision-making.
Bangkok, July 23, 2013 ? The European Commission ("EC") announced its decision to recognize Thailand auditor oversight under SEC?s supervision as equivalent to those of the European Union ("EU
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
allotment. The opinion of board of directors must be clearly disclosed in the notice calling for shareholders? meeting to provide sufficient information for decision making of shareholders. The revised
an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and