record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients
Commission (OIC) as well as register with and obtain license from OIC. To prevent avoidance of regulations on public offering of securities, life-insurance company must select ESOP participants by taking into
good governance of the invested enterprises are taken into consideration apart from profit making.So far, the 30 institutional investors who have agreed to abide by the I Code include state organizations
such group of investors which includes Mr.Vijit Supinit. The SEC Board Meeting No. 6/2011 held today, therefore, has taken this matter into consideration and assigned the Audit Committee to consider two
or 16 percent compared to 41 or 8 percent of the total PVDs in 2009. Employers? contributions and employees? savings paid into PVDs expanded by 2.4 percent compared to a 27.1 percent decrease in 2009
: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then
prospectus to be clear and concise by taking into account recommendations from industry.The proposed revisions aim to (1) simplify format for information disclosure, (2) facilitate minor amendments to be more
? trading accounts to trade TRAF shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. The act of Lalana was considered contravention of
Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to
the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in