years ago which was non-compliance with the conditions on LTF tax benefits. The client was subject to retroactive tax payment plus surcharges.Failure to provide complete information or advice by not

comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments

served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the

which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of

, and seeking the annual general meeting’s resolution for ratification of the financial support transaction is in compliance with corporate governance principles.  The aforesaid loan transaction is

considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee

Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international

The SEC has opined that organizing a shareholders meeting to elect new directors in order for IFEC’s board of directors to have a quorum in compliance with the law would be a proper way for IFEC to

such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj

and continuous audit work for listed companies in compliance with stricter professional standards.   The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of