Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both

derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under

Currently, a significant volume of securities trading on the Stock Exchange of Thailand (SET) involves foreign investors, with most orders executed through foreign securities companies to Thai

flexible for fundraisers, while providing adequate investor protection mechanisms. As for the three new trading orderliness measures, they will help control intraday price volatility and mitigate investor

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

Service Company Limited (ESES) directors, assisted and supported the execution of such trading transactions. ESES is deemed under control of Mr. Saran This case is in the process of inquiry by the special

Miss Tanika Tangpoonphonvivat During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other

Mr. Sittichai Leeswadtrakul During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other

operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the https://www.sec.or.th/EN/Pages

shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside information and having a conflict of interest in