such companies to disclose relevant information; and provide mechanism for proceeds obtained from share subscription. For investors, they must become members of the crowdfunding portals to gain access
to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage
from service provider. Clause 11. Securities company having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective
Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Warot’s
exercise of warrants, provided that the resolution is obtained no more than one year prior to the date of filing an application under Clause 5; (3) in cases where the applicant is a listed company wishing to
who shall work full-time for the audit firm. As for the certified public accountants, the following conditions shall also apply: 5 (a) in cases where the audit firm has an auditor who has obtained or is
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card