disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and Confidential information CRAs should maintain in confidence all non-public information communicated to them

The SEC proposed to amend the regulations relating to annual fee regime for intermediaries to improve equality of fee rate among intermediaries operating the same activities and to ease the burden

To avoid disruption to economic activities as securities companies and derivatives business operators are key intermediaries for providing investment services to businesses and the public, the SEC

effective from June 16, 2013.Vorapol Socatiyanurak, SEC Secretary-General said: ?The revised outsourcing rules will allow securities and derivatives business operators to outsource activities directly

error port without  record and evidence of clients? trading orders. Meaunchit admitted that a number of  clients had contacted her through mobile. Meaunchit?s actions were deemed trading securities for

to investment advice and service solicitation. If it is found that solicitation activities are being conducted by unlicensed business operators or involve investment products not approved for sale

promoting the SEC?s new image through a variety of activities and channels to affirm the readiness of the SEC and every stakeholder to move forward to the new decade,? said SEC Secretary-General Vorapol

actions to alleviate the impact and whether the actual results over the past three years have complied with the law. In case of disputes or legal complaints on environmental issues, specify the details of

. 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