} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.Vasant Thienhom, SEC Deputy Secretary-General said that "When taking clients' trading orders, it is
trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
No. Kor Thor 25/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 3) dated 25/10/2006 Chapter 1 Chapter 2 Chapter 3 Division 2 Opening of the Derivatives Trading
Ref. SorNor. 043/2017 August 10, 2017 To: President The Stock Exchange of Thailand Re: Notification on Business Restructuring, Change of Name and Capital Increase of the Subsidiaries Whereas, the
September 2013, Mr. Siwasit Sainumphung colluded with the five persons above to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing
: Determination of Fees for Undertaking Businesses as Derivatives Business Operator dated 7 November 2016; (7) Notification of the Securities and Exchange Commission No. Kor Mor. 31/2560 Re: Determination of Fees