, securities regulation, accounting and auditing standards, insolvency law, contract law, labour law and tax law. Corporate governance practices of individual companies are also often influenced by human rights

.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that

trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as

that the overall Thai financial market becomes more stabilized and the requests for liquidity support from BOT are not often.”  ____________________   

existing rule, on the contrary, allows a 30-day lead time for such filing during which changes may be made to the registration statement anytime, and as often as necessary. In addition, during the 14-day

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior.  The SEC found from its routine inspection that {A

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients

on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional

attracting or persuading investors to make their decision because of premiums or gifts. ?Amid the current high competition environment, advertising and sales promotions produced by business operators often