? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept

statements. Thus, there was no plan or time allocation to audit the 2012 rectified financial statements for submission to the SEC by June 26, 2014. The SEC therefore allowed STHAI to submit the rectified

Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he

quarter during the past three years (2007-2009). {A} had access to this inside information by virtue of his position as a {X1} director at that time.{A}' s action was deemed the violation of Section 241 of

accuracy of financial statement information, less time-consuming process and lower cost for public and private sectors.? The SEC gave advice on standardizing taxonomy by taking into account the relevant

Bangkok, July 17, 2015 ? The SEC supported debt securities issuer to make debt securities offerings with more convenience, less time-consuming, and in line with international practices. Rapee

executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the

rules, issuer will be barred from the following PO submissions for a certain periods of time. Aforementioned revised rules has already been effective.

authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of