process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
and Form 69-1. The revised forms take into account compliance with the new Corporate Governance Code (CG Code), which was jointly introduced by the SEC and relevant capital market organizations earlier
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or
environmental transition, align with international standards, and take into account Thailand’s national context. It also expands investment options in the capital market while maintaining an appropriate level of
(BLA) shares to be sold from the account of BKI in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net loss of 880.59 million
tender offer for all of RCI shares at the offering price of 4.00 Baht, Which is higher than market price at that time by allowing Mr. Roongroj to purchased RCI shares by using inside information through