such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are required
of rules on every five percent reportThe revisions intend to lessen the burden of reporter and provide more information to investors. To begin with, the revisions to lessen the burden of report include
Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
Bangkok, June 26, 2013 ? The SEC will relocate to the following address with effect from July 2, 2013.Location : Securities and Exchange Commission (SEC) 333/3 Vibhavadi-Rangsit Road
Bangkok, July 11, 2013 ?This follows the news on a complaint filed with the SEC by Mr. Hans Jorgen Nielsen, a former president, director and a chairman of the executive committee of L.V. Technology
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division
).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or
PLC (SALEE). With the referral from the Stock Exchange of Thailand on irregular trading of SALEE shares as a result of a group of persons? trading causing the changes of SALEE share price and trading