in exchanging news and information on capital market supervision and development, and rendering assistance in examination to the extent permitted by each country?s laws. In addition, the MOU will pave

aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the

{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system

significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases

ล่วงหนา้ของสินคา้ท่ีเกิดจากปัจจยัอ่ืนๆ นอกเหนือจากอตัราดอกเบ้ีย (forward gap risk) 3% ของฐานะรวม โดยฐานะรวม = | ฐานะ long + ฐานะ short | โดยค่าความเส่ียงในการมีฐานะในสินคา้โภคภณัฑแ์ละตวัแปรอ่ืนจะเท่า

 Theeraworn said: “SMEs and capital market seem normally irrelevant. Many SME entrepreneurs have no idea about capital market or think that capital market is for big companies. SEC sees this gap and therefore

fund with policy responsive to investors? needs. Mutual funds to be offered should fill savings-investment gap for targeted investors and easy to understand. Moreover, selling of investment units must be