membership. By providing high quality technical assistance, education and training, and research to its members and other regulators, IOSCO seeks to build sound global capital markets and a robust global
the use of program trading/ high-frequency trading. The participants also discussed approaches towards developing and improving the securities industry according to international standards. This
develop a comprehensive global baseline of high-quality sustainability disclosure standards to meet investors’ information needs. • Inherited leading investor-focused sustainability disclosure standards
advice and planning. This is generally because limited service channels and expenses have been affordable mostly by high income earners. The strategic plan aims to address this issue by facilitating
: Case 1: Committing a fraud by misappropriating IEC assets through a purchase transaction of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Suthin and Charuwan sold the shares and
regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in
consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Ltd. and Global Investments International Ltd. via www.globalinvestments.net and
by a group of persons during July 21 - August 20, 2008, the SEC probed into the case and found that {A} {B} {C} {D} {E} and four other accomplices had colluded to trade UKEM shares through seven
management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated
July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded