therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
effectiveness of pandemic control and vaccine development, the economic damage may be worse than what was seen during the 1997 financial crisis. Given volatility in the financial market and real sector which had
startup firms for enhancement of our business capabilities to achieve sustainable growth while maintaining our market leadership over the long term. Guided by our core strategies of “Customer Centricity
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
าหน่ายหลกัทรัพยเ์ป็นผูจ้ดัสรรใหบ้ริษทัและลูกคา้ แยกจากกนั (2.2) มีการก าหนดวิธีการและขั้นตอนท่ีจะท าใหก้ารซ้ือขายหลกัทรัพยเ์ดียวกนั ของลูกคา้และของบริษทัในตลาดรอง (organized secondary market) มีความ
the Capital Market Supervisory Commission No. Tor Chor 21/2551 Re: Rules on Connected Transactions and the Notification of the Board of Governors of the Stock Exchange of Thailand (SET) Re: Disclosure
ตอนที่จะทำให้การซื้อขายหลักทรัพย์เดียวกันของลูกค้าและของบริษัทในตลาดรอง (organized secondary market) มีความเป็นธรรมต่อลูกค้า เช่น
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