follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
An unknown person From July 21 and August 20, 2007, Another unknown person person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts colluded or agreed with Mr
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
detail. Clause 7 In segregating and managing the client’s assets in accordance with this Notification, the person with the proceeding power may authorize any person to take such actions as deemed
application of skills and technical knowledge in analyzing ESG data, considering the current trends, especially climate change, and integrating ESG factors into equity analysis to provide investors with
Bangkok, 13 December 2016 ? The Criminal Fining Committee has imposed a separate, equal fine, totaling at 5,917,125 baht, on five joint principals in the manipulation of the Yong Thai Public Company
(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several
the securities, including the amount and price. He also asked the client to leave the ATS saving account with him so he could help the client trade securities. In addition, he rehearsed the client in