to disclose the information thereof via the information disclosure system of SET within 60 days from the date on which the Central Bankruptcy Court issued an order for the Planner to perform the

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

of related matters including notification to the clients regarding asset refunds or asset transfers to other digital asset operators according to the clients? order, the Ministry of Finance is allowing

that everyone should start retirement planning early in order to have longer investment period and more flexible investment patterns with smaller amount for each installment as well as more likelihood to

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

comply with the specified rules will be subject to the SEC?s order to cease the advertising or sales promotion, rectify the information in such advertisement or sales promotion. The SEC may also order such

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris

trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise