business providers, for the investors to receive quality service up to standard.Furthermore, the regulations would stipulate certain requirements from business providers which are that they must have
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of
(s) with the ultimate power of control of the tender offeror. In addition, it was found that disclosure of certain topics in the tender offer documentation was unclear.The SEC therefore ordered North
Thai Agencies Public Company Limited (TTA), a group of investors has claimed to (1) have collectively purchased approximately 30 percent of TTA shares, (2) expressed the intention to change certain
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
newly established holding company, which owns subsidiary with a certain period of time in business operation, to use a pro forma annual consolidated financial statement prepared as if the holding company