regulatory co-operation between the SFC and the SEC. The two regulators aim to work towards two main objectives: the mutual recognition of investment funds authorised in their respective jurisdictions for

). The total investment of 282 million baht presented at cost without any provision consists of the followings: (1) The investment through a chain of respective shareholding in Forerun Group Limited

Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 and the Stock Exchange of Thailand (SET)?s relevant regulations. The misconducts and respective sanctions are as follows

analyze the benefits and shortcomings as well as the potential impacts on the bondholders both in cases of approval and decline of approval for the above matters with respective supporting reasons, and

Committee has conducted a public hearing in this matter to seek comments from state officials, stakeholders of respective agencies, service users and the public.  In this regard, SEC has drafted the SEC’s

securities companies who are affected from the amendment of the notification to apply for approval of their respective major shareholders in accordance with the newly announced definition. The

for promoting the development of financial innovation and regulations in our respective jurisdictions. We look forward to enhancing a close cooperation with the CSSF in the future.”Mr. Claude MARX

penalties under Section 296 of the Act in conjunction with Section 86 of the Criminal Code. Both persons agreed to enter the settlement procedure. The Settlement Committee imposed a respective fine of 500,000

additional capital at a rate commensurate with the size and degree of business operations. Both asset management companies and trust managers must comply with relevant regulations governing their respective

SEC has also coordinated with the Department of Special Investigation (DSI), the Economic Crime Suppression Division, and the Technology Crime Suppression Division for their respective consideration