funds and the prospectus are made them clearer and more appropriate. For example, requiring a work system to monitor unitholding to ensure compliance with rules on limitations of unitholding, allowing

SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual

such rectification by allowing the financial statements to remain false, incorrect or inconsistent with the facts, they may be liable to commission of offenses under Section 312 of the Act. In any case

this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market

of the Bank of Thailand (BOT). SEC would like to thank BOT for fostering the development of NDID system to its practical use and allowing the extension of its scope of services to intermediaries in

Bangkok, November 10, 2011 ? The Securities and Exchange Commission has passed a resolution at the monthly meeting No. 12/2011 allowing amendment to the regulations governing local and foreign credit

traded TPC shares on a continual basis, causing the share price to be inconsistent with the normal market condition. {D} and {E} aided and abetted the said actions by allowing the use of their trading

of allowing unlicensed business operators to participate in the exhibition; otherwise, it could be considered rendering support to illegal activities. The public and investors can verify the list of

, allowing other persons to access client information is deemed a breach of investor confidentiality agreement, a careless, imprudent performance of duties, a negligence of investors? best interest, and

a way to take advantage of other persons. In addition, Miss Malita assisted or facilitated for Mr. Sarath by allowing him to use her securities trading account and involving in financial