To enhance clarity and consistency with the current business practices of the private sector, the SEC has issued regulations revising the characteristics of “bills” deemed as “securities,” which
investment complies with the company’s investment policy framework as laid out by the Board, and that it has been considered carefully and reasonably. Despite exposure to several risk factors, the investment
investment complies with the company’s investment policy framework as laid out by the Board, and that it has been considered carefully and reasonably. Despite exposure to several risk factors, the investment
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
securities investment consultant for one month. Having considered that she had already been subject to one-month suspension imposed by her employer, the suspension imposed by the SEC is deemed to have been
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited
. The amounts of the interests were recorded as income in the GLH's financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results.Mr. Konoshita's