paragraph 1 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows: (1) For a count of failure to submit the
for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities
, consisting of the following: 1. Statistical information of IPO shares, e.g., the first trading day, financial advisor (FA), underwriter (UW), comparison of IPO prices and its aftermarket prices in different
notes to the financial statements (under equipment) and in the balance sheet are different, etc. This is deemed as violating Section 56 of Securities and Exchange Act B.E. 2535. 2. The auditor
on the trading in the Stock Exchange of Thailand as Thailand has not been on CalPERS? permissible equity markets investment list. Foreign investors have different investment decision criteria and
well progress in developing its computer system but so far technical issue is the most important problem due to securities companies? different internal software applications. As a result, there are
ensure their business continuity and, by extension, prevent impacts on price clearing and settlement and the overall market confidence. To prevent modern day crises and emergencies of different kinds
Bangkok, December 18, 2009 ? The SEC is inviting public comment on the draft amendment to the rules regarding procedure for sale of investment units suitable for investors with different risk
issued standards, which will affect bookkeeping systems of securities business operators in different degrees, are expected to become effective one after another from the year 2011 onwards. The seminar