cooperation with the Association of Investment Management Companies (AIMC) and the Stock Exchange of Thailand (SET) holds PVD seminars and events periodically to educate fund committees to be able to fully

Jakkrit, the SEC received a complaint from a client of Asia Wealth. After further investigation, it was found that he had solicited the client to purchase securities of a company not listed on the Stock

System of the Stock Exchange of Thailand and that appearing in the contracts related to such asset acquisition. In addition , they failed to conduct a due diligence on the appropriateness of the assumption

approved exemption of application fee for an approval of public offering of shares and the Stock Exchange of Thailand (SET) to exempt the application fee for listing of ordinary shares as listed securities

and strengthen professionalism in financial industry in term of financial knowledge, analytical skills, stock valuation and ethics-based performance which assures the quality of CFA certificate holders

separate juristic person from the Stock Exchange of Thailand (SET), as recommended by the Ministry of Finance, and appointing the SET chairman as CMDF president, and the SET executive as CMDF manager. In

pushed securities price , which violated the Stock Exchange of Thailand (SET)'s rules. The SEC is of view that investor contact should exercise his own discretion on trading orders received from the client

deemed the connected transactions, the company is required to disclose the information to the Stock Exchange of Thailand (SET) and to seek shareholders? approval on the transactions. GJS will hold its

required to report the Stock Exchange of Thailand (SET) and propose to the shareholders? meeting for approval. During the said transactions had been made, SCAN never complied with such requirements

transaction due to the fact that DEMCO?s director also serves as a director of Aeolus?s major shareholder. DEMCO is accordingly subject to mandatory disclosure of the transaction to the Stock Exchange of