.  Such information includes cash account, purchases and sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and

outstanding balance in the derivatives account.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

. Eventually, she admitted that some purchasing transactions were made without the client's orders to cut loss in the client's account. This could be considered as misconduct for obtaining authorization to make

for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall  be fifteen days, effective

financial statements. Such information included cash account, purchases and sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under

lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on

ผู้ลงทุนในรูปแบบบัญชีไม่เปิดเผยชื่อ (omnibus account) นอกจากนี้ ได้เพิ่มมาตรการให้ ก.ล.ต.  ดำเนินการหากพบว่ามีการใช้ ASEAN CIS ไทยเพื่อแสวงหาประโยชน์จากการลงทุนของบุคคลหรือกลุ่มบุคคลเดียวกันเป็นการเฉพาะ

Mr. Ekkamon Chuntori On 22 August 2012, Mr. Ekkamon Chuntorii assisted or facilitated for Mr. Surasak Chuntori in allowing him to use his trading account to purchase 75,000 Siam Global House Public

other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead

Mrs. Penny Tossacharoonkiat Mrs. Penny Tossacharoonkiat, former account & finance manager of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr