Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due
shares through Ziriwat?s securities trading account. Their actions were considered as taking an advantage over other investors due to their use of non-public information on Pulto LNG Project value where
Funds?. In this regard, calculation of investment ratio in infrastructure fund will exclude investment proportion in equity and debt instruments due to the difference of its risk and return
Exchange Act B.E. 2535 (1992) (SEA). In this regard, the Settlement Committee imposed a fine of 768,925 on Arnonchai. Due to his previous offence on share price manipulation, the Settlement Committee
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
-called Know Your Customer (KYC)/ Customer Due Diligence (CDD) rules and to report suspicious transactions. Moreover, in cooperation with securities business operator, the SEC sets up standards and
(6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and
disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions. Furthermore, after STARK
the year 2021 and disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions