that {B} had traded the client's securities without client's order. By admitting that trading decisions (30 percent of the transactions) were made before notifying the client, his action was therefore
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
countries, namely Cambodia, Laos and Myanmar, currently not regulated by members of International Organization of Securities Commissions (IOSCO) or not traded on the member markets of the World Federation of
List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to
assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly
(market maker)เพื่อนำไปซื้อขายสัญญาซื้อขายล่วงหน้าที่อ้างอิงกับทองคำ (Exchange Traded Derivatives) และกองทุนรวมอีทีเอฟ (Exchange Traded Fund) ที่อ้างอิงกับทองคำในต่างประเทศเพื่อให้
exchange website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices
the business transfer date, at a par value of THB 100 per share, or equivalent to 66.00 per cent of SUTG’s issued and paid-up shares (“Entire Business Transfer Transaction”) 2 เลขท่ี 1 อาคาร ทีพี แอนด์
business transfer date, at a par value of THB 100 per share, or equivalent to 66.00 per cent of SUTG’s issued and paid-up shares (“Entire Business Transfer Transaction”) 2 เลขท่ี 1 อาคาร ทีพี แอนด์ ที ชัน้
, obligation, and liability that SUTGH has or shall have at the date of business transfer including 132,000 shares of SUTG which SUTGH held as at the business transfer date, at a par value of THB 100 per share