Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
prepare the most recent annual and quarterly financial statements as required under the existing regulations. To eliminate the said obstacle, the SEC proposed to relax securities offering rule to allow the
prepare the most recent annual and quarterly financial statements as required under the existing regulations.? To eliminate the said obstacle, the SEC proposed to relax securities offering rule to allow the
capital market linkages aims to lessen obstacle and increase efficiency for law enforcement where regulations applicable to foreign company approved by the SEC to offer for sale of newly issued securities
. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according
? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the
, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
under the Derivatives Act B.E. 2546, it is therefore necessary to relax regulations to remove obstacle on business operation and enable more channels for managing risk from on exchange derivatives trading
clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek