behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
prepared in accordance with the Thai Financial Reporting Standards for Publicly Accountable Entities (TFRS for PAEs) in the case of government agencies offering to high-net-worth investors, and requiring the
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At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took
that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
of assets under the Notification of the Capital Market Supervisory Board No. TorJor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets, dated August
is a transaction on disposal of assets under the Notification of the Capital Market Supervisory Board No. TorJor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or