its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and

integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and diligence; 2 (3) management and

of the financial statements.  In addition, TIES neither compared the purchase and sale prices of the related party transactions to market prices, nor explained whether or not the price differences were

SEC has applied the principles for regulatory reform to revising governing mutual fund regulations in order to ensure that these rules are reasonable, practical and less burdensome for the

transactions to market prices, nor explained whether or not the price differences were reasonable. Later, TIES requested for postponement of submitting the rectified and audited 2014 financial statements, due on

therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020.  In addition, SEC has found that this misconduct had been partially

based on reasonable evidence indicating that the said persons  agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the

Ms. Ruenvadee Suwanmongkol, Secretary-General of SEC said: “SEC has launched information station microsite about capital market fundraising under the name “Start to grow” (www.sec.or.th

Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company, shareholders as a whole, money market or capital