regarding units of REIT, if indirect investment in real estate is made through shareholding of other companies, REIT must hold not less than 99% of the total sold shares and of the total voting shares in

found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund

without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

by seeking wrongful benefits or embezzling IEC?s assets for himself or other persons. He made IEC enter into a contract with a computer company believed to be a related entity, resulting in IEC having

be allowed by the end of this year.   Criteria for CIS to be offered will include (i) offer must be made only to institutional investor and high net worth investor with specified investment

made only to institutional investor and high net worth investor with specified investment experience, financial status or income, (2) CIS operator must be subject to supervision of ASEAN capital market

investment in derivatives traded on foreign derivatives exchange without limiting investment objective, providing that the investment must be made through securities company. The revised regulations aim to

debt securities issuance and offering and disclosure of foreign bank branches. Disclosure made in registration statement and post-offering periodic reports, such as financial statement and annual