sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
://www.sec.or.th/EN/Documents/Auditor/documentation.doc Section 96 of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the
, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs
: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc 8500pe.doc investment in securities or derivatives in the manner of giving an opinion or
standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts of the
professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts
breaches of the laws, code of ethics and professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation
supervision would expand to cover additional entity types under the SEC regulations; (2) Define clear roles, responsibilities and involvement of the board of directors, including the governance body, to ensure