Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
confident that with their cooperation and support, the capital market will continue to play the central role as the country’s fund mobilization center contributing to the progress and prosperity of Thailand
the securities clearing house or central securities depository to continue its business; (3) guidelines or procedures for business recovery; (4) guidelines or procedures for administration of assets and
now well-positioned for a new chapter. In this regard, while a great deal has been achieved, I believe that the years ahead call for much more work and cooperative efforts. We must continue to be pro
the years, which led to otherwise avoidable damages and erosion of confidence in the capital market and the Thai economy as a whole. The SEC, therefore, will continue on with its timely and relentless
investors in the Thai capital market as well as bright prospect of listed companiesû future growth in 2004 is expected to continue. Highlights SECûs achievements in 2003 in terms of enhancing confidence in
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently