business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
principle that the asset classes eligible for the repurchase (repo) and reverse repurchase (reverse repo) agreements between the securities companies and non-institutional investors be extended to include
Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board recently resolved to approve additional type of mutual fund selling agents which must: (1) be state enterprise which is non
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
internet trading system. On that date, the SSI opening price was at 0.37 baht and remained unchanged until {A} started trading. His trading inflated the SSI share price to 0.41 baht, the highest level of the
shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration. The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that
non-AARG audit regulatory agencies. SEC Secretary-General Ms. Ruenvadee Suwanmongkol stated during her welcome speech on the first day of the workshop: “The SEC is greatly honored to host this year’s
sustainable growth.IAA Chairman Paiboon Nalinthrangkurn said that it is stated in the criteria for this project that the stocks must have a market capitalization of over THB 3 billion, non-SET100, with an
Bangkok, August 25, 2014 ? The ASEAN Capital Markets Forum ("ACMF") announced today that the ASEAN CIS Framework for cross-border offering of collective investment schemes ("CIS") is now operational