and the issuance of rules on business operations, with a focus on investor protection.              (3) Modifications and amendments to other related principles. For example, revision to the

BANGKOK, November 20, 2006 ? The SEC ordered investor contacts, Surat Archacharoensuk and Saranporn Promwan, to be on suspension and probation, respectively on account of breaching the SEC?s Rules of

compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead

Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such 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 undue burden to the business.  SEC, therefore, proposes to amend the regulations by requiring...

, sufficiently, and comprehensively. The SEC?s seminar, recommendations, and checklist are the tools that enable listed companies to enhance their disclosure quality. If they all can proceed in accordance with

Bangkok, July 27, 2006 ? The SEC has put seven approved investor contacts (marketing officers) on one-year probation for violating the Stock Exchange of Thailand?s Notification Regarding Authorized

trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor

Standards of Conduct dated 21 June 2005. Investor contacts must be fully knowledgeable in performing their duties with integrity, prudence and professionalism for the best benefit of clients to enhance and

enhance financial knowledge and foster the development of financial skills within the educational system. The MOU also seeks to improve financial literacy among teacher trainees, teachers, school