. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible

civil penalty at the total amount of 499.45 million baht. If any of the three offenders refuses to comply with the civil sanction, the SEC will forward the matter for the public attorney to file a lawsuit

make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light

civil sanctions on Surin.  However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee.  SEC, therefore, requests the public prosecutor in writing to file a

notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place

economy's sustainable growth.?Mr. David Gerald, Founder, President and CEO of the Securities Investors Association (Singapore) (SIAS) said ?listed companies need to comply with corporate governance and

and listed companies to comply with IOSCO standards and enhance the reliability of the Thai capital market and the confidence of domestic and overseas investors, the SEC has taken into account the

In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

requested by the shareholders because the request letter did not comply with the company ' s articles of association and the relevant law, (2) details on the number of the company's directors involved in the