stipulated in the draft may materially affect decision as to whether or not the transaction should be approved. In this regard, IFA?s report also provide opinions and recommendations on certain amendment to

recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

example, they must ask the clients to do suitability test before giving advice. In this regard, the SEC updated the progress of upcoming regulations on Basel III additional tier 1 and tier 2 instruments

person?s directorship and executive position at a publicly held company in accordance with Sections 89/4 and 89/6 of the SEA. In this regard, the SEC will not maintain Suthisak?s name on the Executive

phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment

prices of Mida Leasing Plc. (ML) in 2008 and 2010 and Max Metal Corporation Plc. (MAX) in 2010. Upon a referral from the Stock Exchange of Thailand with regard to irregular trading condition of ML shares

colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts

100 percent shareholding in each company.In this regard, the proposed acquisition of ACC shares by the group of persons referred to in items (1) and (2) above would result in a combined shareholding of

). In this regard, the SEC has considered introducing PP regulations governing the offering of newly issued shares and CDs by LiVEx-listed companies. The proposed regulatory framework is intended to

will proceed with an investigation by the inquiry official, prosecution by the public prosecutor, and adjudication by the court of justice, respectively. In this regard, the SEC will monitor the