and private sectors, Thailand Responsible Business Network (TRBN) and allies therefore launched the “Send Plastic Home” project to promote the “sort at home, drop with us” campaign. They also provided

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

Limited (PLE)?s shares by using material non- public information. Mrs. Usavadee Srisuchart had Mr. Perayuth Nark-In send trading orders of PLE?s shares through others? accounts and assisting in price

website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through

handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated

Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in

found to have made trading decisions for one of his clients without any evidence of the client?s orders or his giving of investment advice. Similarly, Weeraparn was found to have made decisions to send

Policy Department at 0-2033-4662. For electronic comments, please send an email to sawarin@sec.or.th. For paper comments, please send them to: The Intermediaries Policy Department, the Securities and

?SECID=583. Stakeholders and interested parties are welcome to submit comments and recommendations via the website. For electronic comments, please send an email to rattaya@sec.or.th or sumitra@sec.or.th

encourages securities companies licensed to undertake fund management businesses, market participants and stakeholders to express their views and suggestions via the online survey at www.sec.or.th or send a