committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to
Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 7. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as {B}, a securities investment consultant and {C}, a capital market
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system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the financial statement for
through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and