investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and

for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are

. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month

investment decision making. The program approval suits the issuer making several offers for sale of debt securities in the proximate period and allows the issuer to make such offer when having financial need

listed company has not yet disclosed non-public information material to the change of securities price, any directors having accessed to such information must refrain themselves from trading the company?s

to maintain sufficient liquid assets, which can readily be converted to cash, so that they are able to respond to market conditions without having significant impact on their asset market prices

electronically file an application through the OFAM system without having to submit hard copies to SEC. The move is expected to save 1.6 million sheets of paper per year, or equivalent to 39 tons of carbon

violation of Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The above persons, named in the criminal complaint filed by the SEC, are deemed as having untrustworthy

assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly

other related rules.  The draft amendment, having previously undergone a focus group consultation, aims to remove impractical procedures and enhance consistency of relevant provisions under the principle