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
discussion were Lt.Gen.Bunjerd Tientongdee, Director - General, Defence Information and Space Technology Department and Prinya Hom-Anek, President and Founder of ACIS Professional Center Co., Ltd and a member
Bangkok, June 2, 2014 ? The SEC notified Professional Waste Technology (1999) Plc. (PRO) to rectify its Q1-3/2012 financial statements due to limitation on scope of review imposed by PRO management
capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result