documents  indicated that its total revenues relied on six major counterparties, accounting for 49 percent of total revenues from sales and services. It was found, however, that 30 percent of the applicant?s

, SEC Chief advised that financial institutions and business operators lay out a comprehensive risk management scheme, covering five specific areas of business operation, as follows

support participants to combine ?science? and ?art? in creation of value added products and services, and will become a key economic driver.Vorapol Socatiyanurak, SEC Secretary-General, said that ?The

Bangkok, February 17, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that ?From Monday 17 February, 2014, investors and general public can simply dial 1207 to call the SEC for information

exchange of views and experiences between audit committee members and experts. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar aimed at help preparing audit committees to perform their

Bangkok, February 24, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the SEC Board approved to prescribe a depositary receipt (DR) as a security under the Securities and Exchange

found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and

(Type 1), For instance, (1) Permitting investment in all kinds of real estate with an aim to seek returns from rental income for unitholders, given that such rental income may not be generated from an

report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated

misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He