the specified level compared to the total number of outstanding shares. Additionally, the brokerage firm should monitor customer trading behavior to prevent inappropriate trading activities; (4) To

for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year.  The consultation paper is available at

operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks:  * Means (1) a securities firm licensed to undertake the

)  The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC

standards by focusing on the quality assurance of audit firm?s internal procedures.  As a result, the quality of supervision on auditor in the capital market has become well-accepted from the EU, World Bank

? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from

.   {B}, an investor contact and branch manager of Siam City Securities Co., Ltd., is suspended and prohibited from performing duties as securities firm executive for two months on account of trading

เพื่อประโยชน์ที่ดีที่สุดของกองทุนรวมและผู้ถือหน่วยลงทุน หากไม่สามารถหาราคาแบบ firm quote จากนายหน้าซื้อขาย (dealer) อย่างน้อย 3 ราย ในการทำธุรกรรมการได้มาหรือจำหน่ายไปในตราสารหนี้ได้ตามข้อ 4.2 ส่วนที่ 4

appointed a law firm. Follow up the debtor. 4. Investment in the Entertainment Attraction Business The Meeting of the Board of Directors No. 13/2560 of DCORP was held on December 12, 2017. The Company would

evidentiary documentation in support of the waiver to the SEC Office before the SEC Office begins the deliberation process under the second paragraph in accordance with the procedures and methods specified in