of naked short selling transactions without actual securities borrowing, which is currently a matter of public concerns. Currently, the SET’s inspection system operates on a risk-based approach and the
October 8, 2004 for consideration. Mr. Thirachai Phuvanatnaranubala, SEC Secretary-General, said that ?The SEC will conduct a full-scale investigation into this matter thoroughly. Please be assured that
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
office of the securities companies directly to be assured of legitimate services, accurate documentation and prevention of client asset interference.
public their list of 127 senior securities analysts who will represent brokerage houses in providing securities analysis or information to the public via media. Please be assured that these senior level
standards and assured by SEC-approved auditor.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments
cooperation among the four agencies will help clarify news and rumor to the public more efficiently and promptly. This is because we can contact the right agency and the right person. Please be assured that
information and make cautious investment decisions.?Investors can be assured that all market authorities are keeping a close eye on the situations and are ready to impose special measures if necessary,? said
operation may commence only after the SEC has inspected and is assured of such operational readiness.2.Appointment of selling agents2.1 The appointee must be a legal entity having experience in gold trading