well as acknowledging the problem. The booth provided basic investment knowledge and sources of information for making decisions, which will help them attaining their life goals and ready for retirement
suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients. According to the SEC findings
Bangkok, November 8, 2010 ? The SEC Board Meeting No. 14/2010 held today has approved in principle the establishment of infrastructure funds upon which the governing regulations will be announced by
dividend payment from IT Q4/2012 operational result. The aforesaid action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) which shall be liable to punishment under Section
contracts not prepared in accordance with its accounting policy. Besides, the accounting system and internal controls regarding the construction cost reports were not followed which may affect the accuracy
Professional Conduct dated June 21, 2005 and Clause 14(6) of the SEC Office Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 which was in
. The existing approval scheme, on the contrary, requires the issuer to seek approval and file full form of registration statement for every offer which could affect fundraising plan, costs and need of
accounting policy. Besides, the accounting system and internal controls regarding the construction cost reports were not followed which may affect the accuracy of the financial statements. In addition, TIES
-based crowdfunding framework which launched last May is now gaining interests from various parties. In addition, the SEC is looking at the possibility to allow automated portfolio management advice, also
selling of stocks and REIT by the underwriter at the beginning stage of listing may significantly impact trading volumes and price of such securities.? The proposal also include the rule which requires lead