Mr. Tawee Uengaksorn Mr. Tawee Uengaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Oversea bullion international trading Company
seek personal gain from the margin of such offering and trading transactions. However, the clients who had paid for their orders did not receive the purchased shares or such shares did not exist in the
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
notification and code of conduct established by a securities company to comply with this Notification as specified by the Office. Division 3 25 As amended by the Notification of the Securities and Exchange
member who can place trading order through the system for trading capital market products , if such persons have breached or failed to comply with the regulations prescribed by the Seock Exchange or the
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
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
referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed
-Translation- Ref. IR 62/005 March 13, 2019 Subject: Disclosure of the information regarding related party transaction (Additional Information) To : President, The Stock Exchange of Thailand T.K.S