violation of law or relevant regulations is found or false information is disclosed or material information is concealed, the SEC would be able to take further action by virtue of the Securities Law.     The

As SEC has made an amendment to Section 185 of the Securities and Exchange Act, effective 17 April, the amended Section stipulates that SET-member securities companies are able to trade listed

to maintain sufficient liquid assets, which can readily be converted to cash, so that they are able to respond to market conditions without having significant impact on their asset market prices

To be in line with the government’s policy to promote the operations of social enterprises under the supervision of the Office of Social Enterprise Promotion, and to encourage more private

instruments). The restricted derivatives investor contacts will also have to upgrade their status to Category B investor contacts within 31 December 2011 to be able to further perform their duty. To ensure that

management to asset management licensee will be permissible, subject to the specified rules. In addition, REIT holding limit will be relaxed where a REIT trustee will be able to hold up to 50 percent of the

clients are able to bring a dispute into the arbitration procedures when they do not agree with complaint handling process made by securities and derivatives companies. The revision also includes abolishing

able to seek approval of bond investment consultant if passing examination on relevant regulations. Furthermore, the persons who seek to apply for or renew the approval of investment consultants are

cooperation from the Department of Special Investigation (DSI). In addition, those having clues or evidence that could lead to the wrongdoer are able to contact our regular channels.?  

used to invest, based on market price, at least every business. This is to ensure that securities company or derivatives broker will be able to return client?s assets in full after withdrawing deposit or