was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities

shareholder?s meeting; for instance, proper characteristics of directors, dividend paid from loan and suspicious transactions. While company with good governance adds shareholder value, stronger roles of

substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form

Q2/2011. The loss was resulted from an extraordinary item on allowance for impairment work in construction of Portalnet Co., Ltd., its subsidiary. {A} learnt of this information while she was {X1

at providing investors with information disclosure closely similar to that prepared by Thai companies while not being too burdensome for foreign firms raising fund in Thailand.  The consultation paper

made available, including articles as well as local and international developments in such areas while ?AC Corner? has been set up as a communication channel with audit committees. Furthermore, the

quarters while that of the industry was based on average P/E values during 24-month period.   In addition, RICHY was instructed to extend the IPO subscription period at least for two business days from the

with proper risk management for derivatives investment. In addition, stress test must be conducted while contingency plan must also be prepared. Mutual funds for AIs setting maximum limits of derivatives

Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from

Thai incorporated companies and foreign companies not listed on specified main board of foreign exchanges. The proposal aims at enhancing investor protection while pushing securities issuers to rectify