Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
!!"#$%&'()*'#$ ,'* !!"R#$&'()*## P.#$)')'#+" #$ ,' %OL • * )*##,,'" O*ML()*bML"KL C #$(QO*&% 'Q# +]()*P.()%N('?C alternative trading systems #()*bML")'#+"O%!̀#$!*#f+( traditional exchange %O ?#)'#+"bK$`'P* exchange '$" `P
Privacy Policy Personal Data Protection Policy for Trading in Secondary Market The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data
bonds, (2) Euro Multilateral Trading Facility (MTF), whose criteria are as relaxed as the regulations governing an offering of corporate bonds to high net worth investors, and (3) Securities Official
of predicate offenses under the Anti-Money Laundering Act to include the offense relating to unfair securities trading under the Securities and Exchange Act; comprising imparting false or misleading
a provider who operates digital asset exchange platform on www.binance.com Since the middle of 2020 onwards, a provider who operates digital asset exchange platform on www.binance.com ("Binance
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following
the net asset value of mutual funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
exchange. While the investment objective in relation to derivatives trading will no longer be limited, derivative brokers, in providing the service, will be required to comply with rules and practices