Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
etc. 3. Table summarizing financial status and performance of IPO shares, before and after getting listed on the Exchange. Further information as well as instructions for accessing the “IPO Fact Figure
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency. The proposed regulations provide instructions for giving
consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities