the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client ; (2) entering into transactions by exploiting information, relevant to its
; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3
into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary, or its directors, executives or other personnel; (3) receiving or
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other persons, for example, seeking or exploiting any benefit for oneself
under Thai or foreign law in the following matters: 1. engaging in any unfair trading of securities or exploiting investors in trading securities or derivatives; 2. undertaking dishonestly or causing
Organization on Leveraging Modern Technology in Work Processes or Service Delivery Award; and (4) Outstanding Organization on e-Participation Promotion Award.The SEC is committed to
technologies to enhance transparency and the efficiency of the capital markets. She also discussed the SEC’s experiences in addressing challenges and opportunities in utilizing technology for capital market