Bangkok, July 11, 2013 ?This follows the news on a complaint filed with the SEC by Mr. Hans Jorgen Nielsen, a former president, director and a chairman of the executive committee of L.V. Technology

use since 2003 while the market landscape and the business operation have generally become more diversified and more complex. This proposed amendment would fine-tune the governing rules and prevent

whose home regulator has already established equivilent rules on reporting of securities holding of directors, executives and auditors of issuing companies would be exempted from the SEC rules in this

whose home regulator has already established equivilent rules on reporting of securities holding of directors, executives and auditors of issuing companies would be exempted from the SEC rules in this

. This is to allow capable investors access to more diverse investment channels, and to strengthen competitiveness of asset management companies. The draft revisions involve: (1) determination of

from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed

outstanding balance in the derivatives account.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2000. In this regard, the SEC revoked

clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business

trading orders when obtaining orders from clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re