securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en
matters for consideration of approval as follows: Agenda item 1: Permission to use the Book-Closing Date for the payment of interest and/or the payment of any benefits as the Book-Closing
supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the
that would be beneficial to capital market business or consistent with its objectives upon permission from the SEC Board; and (3) Its governing body will consist of both ex-officio committee and
, embezzlement and permission to prepare inaccurate accounts, which caused the GL financial statements to show an excessive amount of US54 million dollars in the loan transactions and thus the exaggerated interest
, focuses on the additional objective of the CMDF establishment ? permission for the CMDF to give financial support for the SET as deemed necessary to ensure the bourse's ability to maintain its
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of