revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

Securities and Exchange Act.  On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions

The regulatory revision on the information disclosure and an issuer’ auditor takes into account the readiness of the capital markets without creating too much burden for stakeholders. Significant

related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

into the encountered problems and obstacles, which in turn can be taken into account for the formulation of and improvement in the supervisory directions and mechanisms for further development of the

baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not

. The auditor was also unable to review and audit other accounts, such as, inventories, account receivables, property plant and equipment, loans from financial institutions, accrued expenses, collateral

relied on this information to buy SOLAR shares through his own securities trading account at the opening of morning trade session on February 22, 2010 before such information became public in the

regulations on suitability test aim for investor protection both in primary and secondary markets and standardize practices in offer for sale of all securities. By taking into account flexibility and