, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic

sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information

items for annual general meetings and extraordinary general meetings, to require the persons proposing the agenda item to possess sufficient information and supporting documents, to specify details in

to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for

well as submit the special audit report to the SEC by October 7, 2013. Mill later requested the SEC for deadline extension to allow sufficient time for auditor to do the job. The SEC therefore granted an

objective and providing up-to-date information sufficient for risk analysis. The reporting requirements on those unused for supervising purpose will be eliminated while frequency of report submission will be

to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the