client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
gas decreased by Baht 343 million corresponding to EGAT’s lower dispatch instruction from Sriracha Power Plant. • The total cost of sales of goods and rendering services of Small Power Producer (SPP) in
E_1 Legal_FA_2015_12_29-c A CorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2019 Thai economy in 2019 showed decelerating growth at 2.4 percent compared to 4.2 percent in the previous year.The slowdown could be attributed to exports which contracted further due to the stronger Baht and a global economic slowdown. In addition, the investment environment of both the public and private sector remained weak, and private consumption, albeit gro...
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place