having effect to investor or capital market in Thailand, regardless of whether such person is principal, aider or abettor or instructor.The consultation paper is available on the SEC website at
particular person or persons. The revised rules are expected to become effective by August this year. Rapee Sucharitakul, SEC Secretary-General said that recently equity private placement deals of listed
unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the
derivatives intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In
intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In order that an
processed through https://publish.sec.or.th/nrs/2857pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ calculation as specified in Clause 3. (2) “ electronic data” means statements that are created, sent
behaviors of placing trading orders in a manner that misled the public about the price or trading volume of securities, including the placing of consecutive trading orders aimed at deviating the price or
a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision to prosecute by public prosecutors, and ultimately the judicial discretion of the court in