units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for making decisions on securities trading for
transition of a digital capital market, (3) Review market microstructure to align with trading behaviors and ensure fairness across investor types, and (4) Facilitate foreign investors’ more convenient use of
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
is the rightful account owner or a person who has been authorized by the rightful account owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading
the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment