sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information

SEC is rather to ensure fair treatment and that investors have sufficient tools to protect their own rights. The SEC has used important measures in building confidence of investors as shareholders or

obtained; the lack of basis for determining a sample size that would be sufficient to reduce sampling risk to an acceptable level; no stratification before sampling for a population with various

. Furthermore, it seeks to enhance the efficiency of bondholders’ representatives in fulfilling their duties and bolster the credibility and protection of debt securities investors. The SEC and ThaiBMA are

listed companies, audit firms’ focus is on the sufficient supply of able auditors and the implementation of and the compliance with the Thai Standard on Quality Control 1 (“TSQC1”), which is equivalent to

to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for

items for annual general meetings and extraordinary general meetings, to require the persons proposing the agenda item to possess sufficient information and supporting documents, to specify details in

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system