provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of the transaction
a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37
Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business
of an Executive of a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No
Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve
Market business, the Bank generated revenue of Baht 94 million. The market shares (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PTSEC) for 3Q18 was at 4.2%, ranking 8th from total
to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to