give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once

through such client?s account without record and evidence of trading orders. She failed to give the company and the SEC any evidence to prove otherwise. Kruawan?s actions were deemed trading securities for

from the company?s executives. Those who cannot attend the meeting and would decide to give proxy to others should be aware that giving proxy to others may entitled proxy holder to exercise voting right

investment diversification; and           (7) the asset management company will be required to evaluate risk profile of, and give proper advice to, each fund member (suitability) who has investment choices

the SEC supervision can also be viewed under ?Investor Alert? banner.  In addition, any investor or general public can be of assistance by simply dialing 1207 to give information on suspicious

Companies Act of 1992, which do not give chairman of shareholders? meeting the power to ban entitled shareholders from attending the meeting and excercising their voting rights. In addition, such action was

securities business operation can give additional information to the ECD Police at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify the status of

responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General

companies for convenience or as trading collateral. Such money should be safeguarded and give reasonable returns. This revision to the asset custody rules would enhance investor confidence without impacts on

of Business Development, the Ministry of Commerce, Nittimon’s action was in violation of Section 33, Section 102 and Section 105 of the Public Companies Act of 1992, which do not give chairman of