paragraph of Section 281/2 to a fine not exceeding the damages or the benefit obtained but not less than 500,000 baht.On complaints relating NMG take-over as to whether or not relevant laws have been violated
). Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
exploitation of such information to take advantage of the fund for the benefit of oneself or others. Presently, all companies have already made progress on this matter accordingly.Vasant Thienhom, SEC Deputy
prepare participating volunteers to take their roles on shareholders? rights protection efficiently at 2013 Annual General Meeting of Shareholders (AGM). The ?Star for Shareholders? Rights Protection? was
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
?Being the host of the IOSCOAPRC Meeting again this year reflects the SEC?s well recognition and active roles in international arena. The seminar which will take place on November 30 will be joined by
after year, audit firms should continue to improve their auditing techniques along with policies and methods, and also take steps to develop a root cause analysis to have better understanding on factors
maker will take more roles during call market to reduce price volatility. ?The SEC and AIMC closely monitor the incident to seek appropriate solution, particularly on the matter involved with investor