misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
4.2 percent in 2018. Against the backdrop of a global trade slowdown and US-China trade uncertainty, merchandise exports and imports for the year contracted by 2.7 and 4.7 percent from 2018
well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other units responsible for the internal audit. - Review the risk assessment and risk management
Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities
November 13-16, 2007, Annop connived or agreed with Kamthorn to trade RS shares in a manner that inflated and stabilized the share price in concealment to mislead the public to believe in the artificially
for changing from debt instrument for trade to debt instrument holding until due, he company shall, at the date of transfer, transfer such debt instrument at fair value and shall write-off the profit