earlier collected from the hearing on the guiding principles in January this year. Further revisions were also made to facilitate introduction of diverse investment choices in response to investors? demands

Sungwalram(4) Ms. Thanaporn Suwannapong (also branch manager)(5) Mrs. Pranee Rodyindee and(6) Ms. Dok-or ChotanaThe SEC's findings have also revealed that two other investment consultants, namely (7) Ms

. SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009, the SEC suspended {A} for three months from June 17, 2010 and reprimanded {B}. The SEC also recorded their

in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital

are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges.  Also included in

by the said issuer or sponsor, respectively.Besides, relaxation of rules is also proposed to allow FA to provide service for securities issuer or sponsor in cases where staff of FA?s investment bank

(FA), save for offerings by financial institutions which are also SEC-approved FA. On information disclosure, notice calling a  shareholders? meeting must clearly state material information including

will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the

out derivatives positions  before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of

development of asset management industry and enhance competitiveness of asset management companies not bank subsidiaries, but also open access for potential operators, such as Thailand Post, to take part in