clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
เข้าใจในทรัพย์สินที่จะลงทุน (due diligence) รวมถึงการเปิดเผยข้อมูลเกี่ยวกับตราสารที่ลงทุน ลักษณะความเสี่ยง และผลตอบแทนจากการลงทุน ไว้ในหนังสือชี้ชวนอย่างชัดเจนและเพียงพอ?ในการนี้ ก.ล.ต. ได้เผยแพร่เอกสารรับ
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
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
-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