such solicitor to ensure proper legal protection. A list of licensees is available at the SEC?s website (www.sec.or.th) while a list of those not licensed by the SEC can be viewed under ?Investor Alert
that the transactions are appropriate and beneficial to the company while the investment cost is acceptable. Owing to the fact that the transactions are material and the counterparty is Rattanarak Group
. While current regulation only allows the securities companies, commercial banks, insurance companies, and newly-established companies to apply, the amendment to the Ministerial Regulations concerning
} had informed the client the trading results via email while RHB OSK Securities (Thailand) Plc. had sent trading transaction confirmations, statements of cash, collateral settlement, and credit balance
and inventory register in most of the items while the company could not provide clear explanation about cause of such discrepancy. Chanunkorn, however, did not expand his audit scope, assess possible
months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest of suspension
. Disclosed inappropriate behavior of {C}, a securities investment consultant. Suspension of {A} and {B} will be effective from October 10, 2014 while that of {D} will be effective from October 7, 2014. Note
the increase in stock price or index was not a key indicator of the capital market growth, while strong corporate governance (CG) of listed companies was found to be a key factor on well-protected
Section 243(1) in conjunction with Sections 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code, while {F} {G} {H} {I} and {J} violated