Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed
executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr
KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr
appropriateness. Chapter 3 Powers of the SEC Office ________________________ Clause 10 In the case where a certain fact appears to the SEC Office leading to any of the following reasonable suspicions, the SEC
on the displayed list, the intermediary shall update the list within 14 days as from the date of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain
Exchange Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29
Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in
that are aimed at protecting debt securities holders, which can require the issuer to take certain actions, or to refrain from taking certain actions. Examples of covenants include; (a) prohibition on