gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency. The proposed regulations provide instructions for giving
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of Capital Market
the Capital Market Supervisory Board later this month. SEC Secretary-General Thirachai Phuvanatnaranubala said: ?Passing infrastructure fund regulations is a big step forward in terms of public
the Act, the SEC has the power to give the informer a bounty in the amount up to 30% of the fine, paid by the wrongdoer to the court for commissioning the offences of market manipulation, cornering
use since 2003 while the market landscape and the business operation have generally become more diversified and more complex. This proposed amendment would fine-tune the governing rules and prevent
of the financial statements. In addition, TIES neither compared the purchase and sale prices of the related party transactions to market prices, nor explained whether or not the price differences were