comply with the requirements or conditions to be exempted; (3) the applicant has other measures that are sufficient and able to compensate for the compliance with the requirements or conditions to be

measures to prevent and manage conflicts of interest. Such mechanism and measures must be clearly outlined in the ICO filing. Additionally, specific significant matters would require approval from the

suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight measures that the SEC and the SET have revised to

. Otherwise, the SEC will not consider granting any more extension and will proceed with appropriate actions as deemed necessary.  The SEC has therefore instructed SAM to submit the special audit report

deposit cash into client's account. {A} also used client's account to trade securities on her own benefit with a view to obtaining commission. Her actions caused B2-3 million in damages to the client.{A

evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of

, reporting and disclosure of any actions where conflicts of interest may arise and proprietary securities trading.  The consultation paper for draft rules is available on www.sec.or.th. Stakeholders and

.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the

licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. This case is in the process