Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and
) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted
platform for discussion as well as exchange of experience and insight on capital market development to have even more active role in each jurisdiction?s economy. The first one will focus on ?Opportunities
imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares
Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade
243(2) of the Securities and Exchange Act of 1992 and Sections 83 of the Criminal Code. Prayuth?s, Naruephol?s, and Ladda?s actions were liable to contravention of Section 243(1) and Section 244 of the
investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from
ลูกค้าในการลงทุนในผลิตภัณฑ์จากต่างประเทศ และตลาด The Chicago Mercantile Exchange และ The CBOE Futures Exchange ซึ่งเป็นตลาดสัญญาซื้อขายล่วงหน้าในสหรัฐอเมริกาที่อยู่ภายใต้การกำกับดูแลของ Commodity Futures
No. TorThor. 70/2552 Re: Rules, Conditions and Procedures for Securities Underwriting (Codified) _____________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535
. TorThor. 70/2552 Re: Rules, Conditions and Procedures for Securities Underwriting (Codified) _____________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) as