out derivatives positions  before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of

obtaining bounty and gratuity, for instance. In this regard, Commissioners, Board members, top management and staffs of the SEC, the Stock Exchange of Thailand and over-the-counter center are not entitled to

2012 rectified and audited financial statements. The request was made on the ground that the auditor of STHAI?s 2012 financial statements was not appointed to audit the company?s 2013 financial

to make a comparison of home and Thai laws on shareholder protection, in materiality. In case where the comparison is not feasible, the companies must provide additional shareholder protection measures

client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was

indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of

Thai incorporated companies and foreign companies not listed on specified main board of foreign exchanges. The proposal aims at enhancing investor protection while pushing securities issuers to rectify

allowed to offer the service permissible under their licenses on overseas financial instruments. The revision not only aims at increasing the investors? readiness for overseas investment but also enhancing

and financial literacy. The SEC Open House was not only attractive and stylish but comfortable enough for all visitors to make themselves at home. We obtained a very warm welcome from investors and the

, providing that the investment value must not exceed the prescribed proportion. The draft regulations and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested