Limited ("POLAR") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market
Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal
Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market
and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account. This case is under consideration of
failing to have a sufficient and effective system for executing securities transactions for the mutual fund, resulted of an act or failure to act which is a dulty required to be performed. SEC Act S
executing transactions. Accordingly, ERX conducted foreign currency transactions exceeding the approved limit set by the SEC office. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 4
client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing
, and (4) the revision to the criteria for reporting conflicts of interest of company directors.? In addition, the proposal covers laying out of good practice guidelines for executing related party
, and (4) the revision to the criteria for reporting conflicts of interest of company directors. In addition, the proposal covers laying out of good practice guidelines for executing related party
Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that