securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been

Act B.E. 2535 (1992) (SEA) and thus liable to penalties under Section 296 of the said Act. Yanyong and Ziriwat?s actions, as accomplices, were in violation of Section 241 of the SEA and thus subject to

be requested to provide clarification and its subsequent advertisement may be subject to the SEC?s prior approval. Already publicized advertisements must be revised within 15 days to be in compliance

will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators

with the SEC rules on standards of conduct is subject to strict sanction, said SEC Deputy Secretary-General Vasant Thienhom.  

mutual fund under Thai securities law although utilizing different forms of instruments such as shares or trust certificates.  Eligible CIS must be managed by CIS operator subject to supervision of ASEAN

, subject to the prohibited characteristic of the auditor in the capital market under Clause 16(1) of the Notification of the Office of the Securities and Exchange Commission No. SorChor. 39/2553 Re

the SEC). In addition, the offenders are subject to a suspension from trading securities or derivatives for 11 months or 14 months (as the case may be) and a bar from serving as directors or

incurred by the SEC). In addition, the offenders are subject to a suspension from trading securities and derivatives for 14 months or 8.5 months, as the case may be, and a bar from serving as

Under the existing regulations on the eligibility of issuers and the use of proceeds in accordance with the disclosed purposes, certain aspects remain unclear and subject to limitations in