investment decision making, summarized business information and key financial conditions of the foreign banks as well as legal issues are required; for example, debt securities holders may not be able to
information and calling of additional shareholders? meetings which is not only costly but also affects plan of the companies in certain cases. The revised CMSB regulations will bring about more efficiency of
capital market for infrastructure development, not only to bring about better living quality of Thai people but also to attain the utmost benefits from the upcoming ASEAN Economic Community (AEC),? Vorapol
investment in all products. ?Improvement of the suitability test will not only provide the business operators and investors with more convenience, but will also better reflect investor demands. The test
shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration. The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
construction projects, despite the fact that the services did not exist, with intent to deceive other persons. The said action was in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992
. Consequently, AI auditor did not express opinion on 2014 consolidated financial statements of AI because of such limited audit scope imposed by AIE management. The SEC therefore notified AIE and AI to cooperate