disclose at least the following information so that the client enable to consider [i] the information before making a decision to use the services and [ii] possible risks arising from using the services: (1
intermediary shall disclose at least the following information so that the client enable to consider [i] the information before making a decision to use the services and [ii] possible risks arising from using
to use her trading accounts and bank account to trade securities and clear the trading orders. Such collusion in executing trading orders of TIGER stocks of Atthavut and Sujeera in such manners
offer orders* and matching bid and offer orders among themselves through the securities trading accounts of Atthavut, Sujeera and Piliaipit. Additionally, Piliaipit allowed Atthavut and Sujeera to use her
}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC
, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record
of Directors’ Meeting No. 10/2017 of U City Public Company Limited (the “Company”), held on October 30, 2017, that resolved to propose that the shareholders’ meeting consider and approve the issuance
increase to offer the newly issued ordinary shares through VAVA and other related actions and annul the EGM to consider and approve the capital increase to offer the newly issued ordinary shares through VAVA