business operators to conduct only other businesses that are related to the securities and derivatives businesses for which they have been licensed, and requiring them to comply with the specified

of the offenders refuses to comply with the civil sanction imposed by the Civil Sanction Committee, SEC will submit the case for the public attorney to file a lawsuit with the Civil Court to impose a

making necessary preparations for compliance with the Personal Data Protection Act to ensure that the gathering, storing and using of personal data will be efficient and comply with standards;   (7

Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the

: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session

proceedings as agreed in this memorandum shall comply with the laws, rules and regulations for which the three agencies are answerable according to the law and shall not conflict or contradict with the public

when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the

misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of

Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards

information, fund performance comparison in the same categories, and convenient access to services through innovative technological channels are additional criteria to comply." Currently, many types of mutual