, in the aspect of investor protection, the proposed regulation requires that Thai listed company offering ESOP must comply with criteria for existing shareholder protection (i.e. dilution effect). In
appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the applicant shall
; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with