at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

, the SEC has launched the application fee reduction scheme to allow auditors affiliated with audit firms in the capital market to apply for approval as auditor in the capital market for the first time

November 26, 2014. The meeting was called for consideration on a proposal to purchase shares of U Best Point Media Co., Ltd. (U Best) and the right of managing airing time from Media Agency Thai Co., Ltd

International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products

The criminal complaint was imposed on two former GGC director and executive, namely (1) Mr.Jirawat Nooritanon, Managing Director at the time of the offense (during 2014 – 2018), and (2) Mr.Wanlop

SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market

basis.  The report must contain every securities trading order including non-matched order together with details on sending time, canceling time, number of shares and share prices. Moreover, the statement

variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an

license applicants, and to ensure that the licensing process is flexible and in alignment with the numbers of license types and license applicants, as well as the time for developing of the digital asset

/Enforce Criminal Complaint Filed with an Inquiry Official Dated 13/03/2009 Lertviset and Miss Sasithorn Wuthiruengsakul, Asset Million Co., Ltd. (“AMC”) and its two directors at the time, namely Mrs. Wandee