and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
obligation being rated or if the information remains non-public. 2.10 A CRA should not hold or transact in trading instruments presenting a conflict of ctivities. 2.11 In instances where rated entities or
PLC (SALEE). With the referral from the Stock Exchange of Thailand on irregular trading of SALEE shares as a result of a group of persons? trading causing the changes of SALEE share price and trading
is a leading engineering company in water project and environmental project. Supreme Enterprise is under the Supreme Group which operates in various industry such as power, energy. trading and Bio
เป็นไปตามที่กำหนดในหนังสือชี้ชวน เพื่อป้องกันปัญหาในการรับคำสั่งซื้อขายหน่วยลงทุนที่เป็นการเอาเปรียบผู้ถือหน่วยรายอื่น (Late trading) 3.2 ระบบการจัดการลงทุน วัตถุประสงค์
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following
Criminal Code. A referral from the Stock Exchange of Thailand stated that irregularities in the trading of FOCUS shares had been detected in relation to trading activities of a certain group of persons. The
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