disclosure of the related party transactions during the past there years; - clearer disclosure of the funding objective in the registration statement and more flexibility in case of change to such objective
. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in
clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been
conjunction with Section 86 of the Penal Code. However, Apichart and Ratchanee denied the allegation while Krisda did not make any contact to clarify his action. As for Preecha, there is no evidence to identify
of wrongdoings as follows:1. Falsifying revenue worth totaling 34 million baht in POWER?s financial statements for the year 2004. From investigation, there was a reasonable ground to believe that the
spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions
company has incorrectly recorded some accounts. In addition, the SEC?s review of such financial statements along with NIPPON information released through the Stock Exchange of Thailand indicate that there
. Eventually, there should be no more setup of new property funds whilst the existing funds will be permitted to transform into REIT. ?We will be coordinating with relevant agencies to address tax and fee issues
, providing that in cases where any issues under laws of foreign jurisdiction are less stringent than Thai laws, there must be an arrangement of investor protection mechanism comparable to Thai laws;- Home
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to