in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The

is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance

guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this Notification; 3 (3) to allow the SEC

conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or

financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and

of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For

of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised.  In addition, asset management company or seller may

consistent manner; (2) set out detailed guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this

Bangkok, August 10, 2009 ? The SEC ordered Siam General Factoring Plc. (SGF) to revise its 2009 first quarter financial statements. The SEC had found in SGF?s Q1/2009 financial statements an item

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the