securities in its possession. The SEC is therefore conducting this public hearing to gather feedback from stakeholders. The key points of the proposed amendments are as follows: (1) To require securities
possession, nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients’ assets, which was a
select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and
Foods Public Company Limited (TIPCO) using inside information known or in possession. The two offenders are required to pay a total fine of 4,970,880 baht and are prohibited from serving as directors
(OTC) derivatives, investments in debt and equity securities for the Company’s own account, bond dealing, and private repos and other investments. 2. Expenses The Company’s expenses in 2018 were Baht
, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own account, bond dealing, and private repos and other investments. 2. Expenses The
, Amphur Yannawa, Bangkok. It’s empty land without any construction. The Company gained it since March 2012 with the price Baht 144,247,680 No. Title Deed No. Map Sheet No. Parcel No. Dealing File No
account, bond dealing, and private repos. The Company’s gains and returns on financial instruments in 2017 was Baht 1,328 million, a decrease of 7% from the previous year. The total gains and returns on
, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in the category of