Mr. Somchai Chaisrichawla From September 13 to November 16, 2006, Mr. Somchai Chaisrichawla colluded with Miss Chaninan Luangwaykin in using Somchai’s and other persons’ securities trading accounts
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following
trading on the stock exchange of not fewer seven consecutive business days but not more than 15 consecutive business days prior to the date for determination of such subscription price. The weighted average
Private Placement under the General Mandate shall be “Market Price” which means the weighted average price of the Company’s shares trading on the stock exchange of not fewer seven consecutive business days
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure statement for futures trading