without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

number of clients? securities trading orders.  Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on

which technology plays a vital role, particularly in management of enormous volume of information and documents.The project SMART SEC Administrative Office was launched and a number of systems were

www.sec.or.th. Stakeholders and the interested public are welcome to submit comments through the website, or through facsimile number 0-2263-6476 or e-mail legal@sec.or.th until September 25, 2011.

investment trust (REIT), to ensure accurate, clear and sufficient information for investors? investment decision.Chalee Chantanayingyong, SEC Deputy Secretary-General revealed that ?Recently, a number of

already submitted where a number of transactions had no details of either amount or price of securities. From the record, in addition, the client sometimes allowed him to make trading decision and the

trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group.  {B} {C} and {D} aided or abetted the aforesaid actions

complaints lodged by a certain number of EPCO shareholders informing that they had not made the letters of intent to decline the tender offer which were attached to Form 247-4. After the SEC?s review of the

companies have considerably increased whereas doubts in a number of cases were reflected whether the placements were used appropriately or fairly to the shareholders. To prevent the exploitation of private

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the