securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For
services of securities firms. Vasant Thienhom, Deputy SEC Secretary-General said, ?The SEC found that some investors have solicited other investors and investing public, either verbally or through LINE as
services of securities firms. Vasant Thienhom, Deputy SEC Secretary-General said, ?The SEC found that some investors have solicited other investors and investing public, either verbally or through LINE as
the fund establishment have been covered by the media. It is therefore important to clarify that approval for any securities offering or fund establishment will be certain only when the applicants
financial management. Within the last 6 months, it was found that 10 employers had shifted into other funds, of which there exist 45 funds from 383 funds. It was also found employers are becoming more
capital requirements are also stipulated in the proposed amendments.SEC is now seeking public comments on the revised draft notification on the maintenance of capital which has been refined in certain
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
of CD offerings by listed companies while flaws have been found in notices calling a shareholders? meeting to approve CD offering and authorized shares reserved for CD conversion. Without advice of the
complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities
and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A