revision aims to promote greater varieties of product choices for investors and enhance competitiveness of the fund management industry. The draft amendments have taken into consideration the comments and
therefore imposed a fine of 2,518,646.23 baht. As defendant made confession, the Court commuted the conviction into half to a fine of 1,259,323.11 baht. This case follows the SEC complaint against Apichart
record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients
Commission (OIC) as well as register with and obtain license from OIC. To prevent avoidance of regulations on public offering of securities, life-insurance company must select ESOP participants by taking into
good governance of the invested enterprises are taken into consideration apart from profit making.So far, the 30 institutional investors who have agreed to abide by the I Code include state organizations
such group of investors which includes Mr.Vijit Supinit. The SEC Board Meeting No. 6/2011 held today, therefore, has taken this matter into consideration and assigned the Audit Committee to consider two
or 16 percent compared to 41 or 8 percent of the total PVDs in 2009. Employers? contributions and employees? savings paid into PVDs expanded by 2.4 percent compared to a 27.1 percent decrease in 2009
: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then
? trading accounts to trade TRAF shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. The act of Lalana was considered contravention of
Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to