submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A

. Adjustment on SET?s trading systemSET has adjusted the parameter of circuit breaker for mai Index to prevent the repetition of the incident. 3. Investigation on irregular trading after market halt Halted at

Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that 14 individuals had engaged in THE trading orders in a manner consistent with

solicitation; (2) having a clause prohibiting the representative from appointing a sub-representative; (3) overseeing the representative to comply with the clause in the agreement and the rules on sale or

units or customer solicitation; (2) having a clause prohibiting the representative from appointing a sub- representative; (3) overseeing the representative to comply with the clause in the agreement and

rules on sale or acceptance of redemption of investment units or customer solicitation; (2) having a clause prohibiting the representative from appointing a sub- representative; (3) overseeing the

( https://linkagemgmt.bora.dopa.go.th ), for example, data from the Department of Legal Execution, the Anti-Money Laundering Office (AMLO), the Department of Special Investigation (DSI), and the Narcotics

ยอมรับในอุตสาหกรรม ทำหน้าที่ตรวจสอบความมั่นคงปลอดภัยของระบบ และพิสูจน์พยานหลักฐานทางดิจิทัล (digital forensic investigation) โดยไม่ชักช้า (ข) จัดส่งรายงานที่จัดทำโดยผู้เช่ียวชาญตาม (ก) ต่อสำนักงาน ก.ล.ต

personal data The SEC Office receives your personal data from: Information on relationships between different groups of persons from cases under investigation: The SET Group, securities companies, and