connected transactions and acquisition of assets, the company is required to disclose the information on transactions to the Stock Exchange of Thailand (SET) and seek shareholders? approval on the

July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly

was always higher than its acquisition price. The buy side would occur in the opposite direction. Instead of buying securities for UBS?s clients at the best offer available on the SET main board

criteria set by institutional investors; for instance, GPF and AIMC that TIA will exercise dissenting votes in the significant agenda; for instance, the agenda proposed in the meeting or having auditor?s

was suspended until that date while the rest of suspension period was instead set as the period for acceptance of her re-application for approval as capital market personnel, effective as from April 27

suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client

compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns

run, such as, an MOU with ASEAN members to allow the offering of collective investment scheme (CIS) set up in ASEAN to retail investors, promoting asset allocation services to support investors to

conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

also set an example of the cooperation among the law enforcement entities. The SEC, in this regard, would like to express our appreciation to all involved parties, including DSI and Office of the