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credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
provided that the price used shall reflect current market value of each type of instrument or securities. Clause 18/2 4 Bill of exchange or promissory note that the securities company will invest under
value of instrument or securities in which it uses clients’ money to invest under Clause 18(1) (a) at least on every working days provided that the price used shall reflect current market value of each
of instrument or securities in which it uses clients’ money to invest under Clause 18(1) (a) at least on every working days provided that the price used shall reflect current market value of each type
value of THB 5 per share: (1) To accommodate the allocation of 3,425,090,482 newly issued ordinary shares to the existing shareholders pro rata to their shareholdings (Rights Offering), at the par value
to the Buyer and the Seller has relationship to be connected people according to the announcement of the Capital Market Supervisory Board No.21/2551 regarding the criteria of making connected