Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
1 (-Translation-) Ref. No. IRS.025/2019 October 31, 2019 Subject Acquisition of Shares in Hello Bangkok LED Co, Ltd., which is an Assets Acquisition Transaction of the Company, Issuance and Offering
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
a temporary trading suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007
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
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders