Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
trade such shares. In addition, trading orders were matched to benefit the same persons. Prayuth, Naruephol and Ladda aided the wrongdoings by using their own accounts to manipulate METRO and TUCC share
approval by the authorised person; · Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of password or
most highest right. (Translation) -8- ▪ Controlling the privilege user strictly, such as controlling the compliance such user in a manner of dual control which imposing two officer possess half of
. This will permit market participants to draw their own conclusions about whether the CRA has implemented the IOSCO CRA Code to their satisfaction, and to react accordingly. In developing their own codes
position called otherwise shall: 1. possess a bachelor’s degree or higher or an equivalent degree certified by the Office of the Civil Service Commission with at least three-year work experience; or 2
applicant must possess and maintain the criteria for operations stipulated for the Self-Regulatory Organization (SRO) in line with the standards of the International Organization of Securities Commission