or supporter, with premeditation or gross negligence; (2) sanction already imposed on such auditor; 8 (3) impact on or damage to relevant parties such as money market, capital market, the general

of benefits from a client’s derivatives trading; (2) a person with the controlling power over a client’s derivatives trading; or (3) a financial supporter of a client for the benefit of trading or

-principal or a supporter of wrongful activities in cases such as (1) acting as an agent or channel to help foreign business operators solicit Thai investors to open trading accounts or invest in foreign

against securities and exchange law. This seminar is the starting point to help lawyers to be preparedness and extend their ability to advocate or advise investors on legal requirements and procedures

along with financial advocate, chief financial officer (CFO), for example. The SEC will work on curriculum design, volunteer mentors, and employers? human resource staff training to become financial

economy. In this regard, the AIMC will consider various suitable fund models and benefit proposals in the future. Furthermore, the SEC will advocate for the integration of the country's pension systems and

Bangkok, October 27, 2011 ? The SEC has directed Tongkah Harbour Plc. ("THL") to rectify its financial statements for Q3/2010 and for the year 2010. THL is required to record compensation for

statements. Accordingly, TIES must submit to the SEC and publicly disclose the financial statements, urgently. Earlier, the SEC had directed TIES to rectify its 2014 financial statements due to the auditor’s

not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to

according to the generally accepted accounting principles (GAAP). In addition, the SEC has directed POWER to correct its financial statements for the years 2004 and 2005 and the second quarter of 2006