requirement to have the summary of key investment information sent to unitholders and SEC. Meanwhile, the proposed amendments to the regulations related to the establishment and management of infrastructure
period of 12-31 months (as the case may be)*. However, as they all refused to comply with the civil sanctions specified by the CSC, the SEC has sent a written request to the public prosecutor to file a
orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
on the client's behalf. The communication record showed that {B} sent trading orders and afterwards informed the client who did not reject the transactions. The record also proved that he did not
specified by the tender offer rules, Bee on January 27, 2014 sent the SEC a letter explaining his purchase of EIC shares to the Sub-Committee on Business Takeovers .The fact that Bee sold all 1,017,500 EIC
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
updated at least once a year or upon significant change of information, and the updated version shall be sent to the customer to certify the correctness of the updated profile; unless the customer opposes