, during the period from 5 January 2009 to 13 October 2009 Numkrit ? then assistant director of UBS International Equity Sale responsible for providing brokerage services to local and foreign institutional

regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and

constructive outcomes.? Vasant Thienhom, SEC Deputy Secretary-General said, ?The SEC places a high priority on enforcement mechanism.  During the past years, the work procedures have been developed while law

during the OECD-Thailand Seminar on Financial Inclusion and Financial Literacy in Asia, the event co-hosted by the SEC and the Bank of Thailand at the Mandarin Oriental Hotel, Bangkok from December 16-17

fraud, causing damages to TUCC during 2010-2011. Those alleged offenders were (1) Yongyuth Ngamkaiwan, Director and CEO of Thai Unique Coil Center Plc. (TUCC); (2) Vacharee Ngamkriwan, TUCC Director and

submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders

Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these

., Ltd. for 12.50% The directors who have conflict of interest did not join and vote for this agenda. Total size of related party transactions during the past six-month periods Overall, total size of

minimum payment and adjusted to percent of revenue sharing payment during that time. Moreover, AOT reduced minimum payment for BAC since January 2011. 6 ASIA’S BOUTIQUE AIRLINE Management’s Discussion and

acquisition transaction per the base of net operating profit during the past 6 months). Therefore, as the size of transaction exceeds 100% which need to be filed for new securities listing. However, this