other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14
referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed
Forum of Independent Audit Regulators (IFIAR), updates on audit regulatory initiatives, audit inspection findings and case studies in respective jurisdictions. Urgent issues in relation to shortage of
judgment in relation to Suree that she was an aider and abettor rather than a principal, and thus sentenced her to a four-month imprisonment and a fine of 133,333.33 baht for the violation which occurred
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
relation to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of the
Board of Governors Re: Information Disclosure and Operation by Listed Company in relation to Assets Acquisition or Disposition B.E. 2547 dated 29 October 2004 (and as amended) (Notification on Acquisition