Securities Exchange of Thailand Act B.E. 2517 (1974) and Sections 243 (1),(2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Sections 83 and 91 of the Penal Code. They
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waivers and an approval to prevent events of default under the terms and conditions, as follows: (1) Granting a waiver for the company’s inability to close the bondholders' register at least 14 days
more exhibitors were found to be engaging in securities, derivatives and digital asset businesses without proper license. The SEC therefore notified the event organizer to close the booths and suspend
who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the
Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
. The surging price of the offshore ETF at the close market on December 30, 2011, however, resulted in irregularly high domestic mutual funds? NAV. Following the incident, the SEC in January 2012
ผู้ลงทุนอื่น ทำให้ผู้ลงทุนอื่นต้องเคาะซื้อในราคาที่สูงขึ้น ควบคุมราคาเปิดและปิด ด้วยการส่งคำสั่งซื้อหรือขายในช่วงก่อนตลาดเปิดทำการซื้อขาย (Pre – open) และปิดทำการซื้อขาย (Pre-close) ที่ส่งผลกระทบต่อราคา