to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has duties to submit the report of penetration test result to the SEC office within

later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or

สมกับฐานะทางการเงิน ความรู้ และประสบการณ์ของผู้ลงทุน (suitability test) (1.3) ไม่ควรอนุญาตให้บุคคลธรรมดา / นิติบุคคลที่มีเงินลงทุนขั้นต่ าครั้งแรกไม่น้อยกว่า 2 ล้านบาท ลงทุนในทรัพย์สินได้เหมือน

whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all

, registrars, depositories and regulators – to examine bond information more conveniently and rapidly while benefiting from less redundancy and shorter timeframe for book closing process.    ThaiBMA’s

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine

Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under