. Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of Clause 12
receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that during 4 - 22 December 2014, 13 persons colluded to manipulate the price of
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading
. Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and Section 97 of the Securities and
Exchange of Thailand (SET) and the SEC's further investigation, Sarath, TOG Vice President, Business Planning and Finance, had access to the information that the net profit of the company had increased
inside information to buy the company's shares. He was subject to a civil penalty of 500,000 baht, as a resultFollowing a referral from the Stock Exchange of Thailand (SET), the SEC conducted further