in the Thai capital market under certain limitations and clearly defined conditions. In this regard, the SEC Board would have the power to exempt businesses with certain characteristics from being
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
information of similar nature or same type for use in marketing support during the same period, which can be used as replacement value. In this regard, the value will be adjusted to be similar to each other