by the public at large while the operating business must not create any conflict of interest with the securities business applying for the license.    In addition, the existing and new coming Type D

persons while details of the allotment must be disclosed in registration statement and prospectus. For an IPO, shares may be allotted to the related persons up to 25 per cent of total offered shares.  In

, SSI share price decreased and closed at 0.38 baht. Furthermore, SSI trading volume on that date was only 0.75 million shares and surged to 335.10 million shares while {A} was trading, 130.12 million

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the

in infrastructure, Thailand can become a connector for fund raising of regional infrastructure projects while more product variety will serve investors better. The relevant regulations will be

for their investment decision while the List can also be of use for securities companies? risk management.  Considering that Thai capital market has been developed with significant growth rate over the

on standards of conduct.  The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had

implement efficient, reliable and systematic credit rating methodologies and operate independently without conflicts of interest. Inputs must be managed efficiently while disclosure of public information must

their trading accounts and facilitating financial transactions via the accounts.{A}'s action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) (SEA); while {B} and {C}'s