misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
such matters as the definition of the related person of the waiver applicant, the inclusion of securities held by concert parties, and the revision of disclosure requirements to provide shareholders with
Bangkok, April 28, 2011 ? The Capital Market Supervisory Board (CMSB) at its monthly meeting held today has approved revisions to the takeover regulations as follows: 1. Any person making a
derivatives business.Vasant Thienhom, SEC Deputy Secretary-General, said that "Following suspicious report from investors, the SEC's probe revealed that {X1} Co., Ltd. and {A} held themselves out as gold
the near future. ?The SEC has placed importance and played active roles in MCMC forum and I am very pleased that other Mekong jurisdictions have done the same. We agreed that the meeting will be held
connection, Yongyuth and Vorapin are deemed as having untrustworthy characteristics of a publicly held company director and executive throughout the criminal proceeding period. On criminal proceedings, they
countries were accordingly held to enhance the cooperation and consultation with a view to accomplishing comparable quality of audit work and financial reports across the region.The 3rd ASEAN Audit Inspection
of capital market. The SEC discussed this urgent matter with relevant parties, held training courses and seminars for auditors interested in applying for the approval as capital market auditors
: SMEs Alternative Fundraising Instrument,? held today at the Stock Exchange of Thailand. Apart from flexibility of fund size, maturity term and collateral option ? which incurs lower costs on issuers
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator