Bangkok, November 27, 2006 ? The SEC, Thailand has pushed forward active cooperation and exchange of information among capital market regulators at the recent annual meeting of the International Organization of Securities Commissions ?Asia Pacific Regional Committee (IOSCO-APRC) in Hoi An, Vietnam. With delegates from 21 member jurisdictions, the IOSCO APRC meeting addressed several issues of regional concerns with special focuses on (1) the campaign for the signing of the IOSCO Multilatera...
The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
business to support continual growth of mutual fund industry and thus serving as investment alternative in which investors are confident, providing quality service and helping development of the country. The
the case and found that such irregularity was caused by Boonchai?s purchasing and selling of CWT shares in concealment and on a continual basis through the trading accounts of Kachapan, Chusak and
Anantasitthikul's trading account in concealment and on a continual basis to mislead and lure the public into the trading. The alleged offender escaped. SEC Act S.243(1)(2) and 244 in conjunction with
Construction PLC (FOCUS), Inter Far East Engineering PLC (IFEC), and The Royal Ceramic Industry PLC (RCI) - in concealment through trading accounts of eight persons and on a continual basis to mislead and lure
Company Limited (TPC) on continual basis and in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was
Pubic Company Limited (TPC) on continual basis and in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed