statements and conditions, having positive attitude towards listed company visit and encouraging the company to be aware of importance of information disclosure. TIA was also advised to set up efficient system

are suspected of having committed an offense as specified by law. ?Under the relaxed rules, the securities companies which do business only with institutional clients or do not have custody of their

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

cooperation from the Department of Special Investigation (DSI). In addition, those having clues or evidence that could lead to the wrongdoer are able to contact our regular channels.?  

exchange issued by commercial banks having credit rating not lower than investment grade, providing that support rating will also be allowed.The revised regulations will clearly determine responsibility of

investors at any given time; (2)  having the characteristics of fundraising from the public in general with advertising or solicitation regarding the issuance of bills, excluding bills with the principal and

The SEC, having been informed of the progress of the company’s plan for fund raising with the new investors in which a business rehabilitation petition must be filed with the Court, has instructed

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

complaints that Data Resources Asia has based in Thailand as a center to induce foreign investors to buy or sell foreign securities without having license to conduct securities businesses in Thailand

opened with a securities company. For example, having advanced knowledge of which stocks his clients would trade and when, Sanguan ordered to buy the exact same stocks for his relative?s account before