with access to inside information and the number of directors indicated direction of the earning management of listed companies, especially for those in financial sector. Dr. Nattawoot Koowattanatianchai

SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to

damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that

of both companies have not yet transferred the shares to the company. SCAN could be exposed to risk of not getting money back if the agreements are terminated. IFA also indicated that in case of

, after receiving report on suspicious activities. The SEC?s investigation and evidence found at the site indicated that during August 2009 ? February 2010, both companies had presented themselves on a

engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market.      The SEC?s audit inspection in 2013 covering eight audit firms indicated that

quality improvement not only indicated effectiveness and efficiency of companies? business operation throughout the year, but also allowed shareholders to seek clarification from the management. This year

satisfactory improvement among 585* listed companies. The rise of 13 such companies to Progress Level 5 (out of 6 levels) indicated extended efforts to involve stakeholders in the implementation of corporate

would constitute a contravention of Section 246 of the SEA. Based on reasonable evidence found in the case indicated that the following persons were involved in the scheme, the SEC thus filed the

ASCO has been in talk with its members to set the report format before submitting to the SEC for approval of ASCO's regulation. Recent securities trading statistics indicated that investment of local