fund and may weaken the overall confidence in the mutual fund industry. The SEC therefore is proposing to amend the rules on term funds by, for example, (1) increasing investment diversification and
Bangkok, July 22, 2014 ? The SEC is seeking public comment on proposed rules, conditions, and procedures for information disclosure in financial statements and operational result of foreign
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
been implementing several measures for preparing market participants for the amended rules. More emphasis is on sufficient and reliable disclosure of information by issuing companies and financial
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok
Microsoft Word - 2009-037EN The Information of the Connected Transaction (Additional) Ref.No.2009/037EN September 22, 2020 Subject Inform about The Connected Transaction of the contract of land lease