securities business pursuant to the Securities and Exchange Act of 1992. His action was in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years
for enhancing operational efficiency under the ?SEC Centerpoint? Knowledge Management Project. The project has allowed the SEC staff to learn, exchange, and apply the knowledge acquired from work
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
Bangkok, November 28, 2012 ? The Securities and Exchange Commission of Thailand ("SEC"), signed a Memorandum of Understanding ("MoU") with the Commission de Surveillance du Secteur Financier of
business operator, (iii) an audit firm where the SEC-approved auditors work, (iv) the Stock Exchange of Thailand or its subsidiary whose shares are held by the SET at least 75%, or (v) a service provider
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Bangkok, February 13, 2015 ? The SEC organized the seminar ?Challenges of audit committees in reviewing financial and non-financial information? to provide a venue for discussion and exchange views
corporate fund raising through bond issuance. The project will provide the business operators interesting in bond issuance with a forum to exchange views and experiences with institutional investors and for
infrastructure trust publicly offered, at least 70 percent of its investment must be in the projects having commercial revenues and the units must be listed on the Stock Exchange of Thailand. For infrastructure
established under specific laws, (e) Government Pension Fund, (f) provident funds, (g) Social Security Fund, (h) mutual funds under the Securities and Exchange Act, (i) Thai Red Cross, (j) foundations for