to implement of the I Code. Implementation of the I Code by Institutional Investors will enhance confidence by domestic and global markets clients and trust that investment decisions and management are
to implement of the I Code. Implementation of the I Code by Institutional Investors will enhance confidence by domestic and global markets clients and trust that investment decisions and management are
director and chief advisor to the executive board before it was disclosed to the public. The Q3/2015 operating results showed the net earnings of 14.25 million baht, which was a significant increase compared
Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C
presentation of the investment amount and the gains from loss of control in subsidiaries. In addition, the information disclosed in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is
receive equal treatment in terms of the notice period and information disclosed. The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand
information disclosed. 54/F, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong 香港鰂魚涌華蘭路 18 號港島東中心 54 樓 +852 2231 1222 www.sfc.hk Page 5 of 17 Breach 21. In the event of a material breach of Thai
necessary to properly implement the Principles in a specific jurisdiction. Further, the IOSCO CRA Code is not designed to be rigid or formulistic. It is designed to offer CRAs a degree of flexibility in how
(Form 56-1, 2012) to the SET and the SEC Office on March 29, 2013. The Form 56-1, 2012 disclosed incorrect information on the financial condition and the business operation of the company that did not
, 2012) to the SEC Office within April 30, 2013. E submitted the copy of inaccurate Form 56-2, 2012 to the SEC Office on March 21, 2013 which disclosed incorrect information on the financial condition and