boosting the Thai bourse to become fundraising destination for businesses in Mekong region. Currently, a number of high potential companies in the region express their interest in raising funds through the

exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for

capital increase proposal for private placement, feasibility and objective for company?s interest including appropriateness of placement method, placement price and price determination as well as share

where service provider is unable to perform the outsource activities; and (iii) measures to prevent conflict of interest are also required. For outsourcing to a company in corporate group which is a

by the public at large while the operating business must not create any conflict of interest with the securities business applying for the license.    In addition, the existing and new coming Type D

issues.?Nowadays, only 219 companies have issued bonds, comprising 124 listed and 95 non-listed firms. Bond issuance could help diversify fund raising for cost restructuring while interest rates are low

financial products. For the best interest of the fund members, they should also be well-versed in selecting asset management companies, monitoring and assessing performance of asset management companies to

, seeking the imposition of civil sanctions requiring her to pay a total amount of 332,307,757.52 baht plus interest, together with a suspension from trading securities and derivatives and a bar from

Court to seek the imposition of civil sanctions requiring him to pay a total amount of 94,643,271.70 baht plus interest, and to impose a suspension on Mr. Suthee from trading securities and derivatives

) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with