opened in his name and facilitating relevant financial transactions. His action was considered a contravention of Section 243(1) in conjunction with Section 244 and 243(2) of the Securties and Exchange Act

companies licensed to undertake the said businesses.  In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing

calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to

evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of

draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients

SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with

to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The

(“GLOBAL”) through the securities trading accounts of six persons and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public

warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking

Limited (“GLOBAL”) through the securities trading accounts of two persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public