normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to
. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading
application and the evidentiary documentation as prescribed in the Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the
matters related to compliance with this Notification as well as set penalty measures as a guideline for the SEC Office. The Committee under the first paragraph shall comprise no more than five experts in
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business
and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an
Guideline for Investment Management Business issued by the association with the approval of the SEC Office. In this regard, such financial statements shall be audited and given an opinion by an auditor who