company?s shareholding structure and management before such information became public. In addition, Chutchapong, on behalf of SLC, had imparted false a statement to the SET on September 28, 2009 by denying

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

speakers from the US SEC; Mr. Daniel M. Gray, Senior Special Counsel for Market Structure in the Division of Trading and Markets, and Mr. Thomas Mester, Senior Specialized Examiner in the Office of

speakers from the US SEC; Mr. Daniel M. Gray, Senior Special Counsel for Market Structure in the Division of Trading and Markets, and Mr. Thomas Mester, Senior Specialized Examiner in the Office of

Professional Mobility framework to facilitate the cross-border movement of investment advisers and the publishing of research reports. ACMF will formalise the arrangements in the second half of 2018.The ACMF

(Launch of the Integrated National Financing Framework (INFF) and the Insurance and Risk Finance Initiative for Thailand)” จัดโดยโครงการพัฒนาแห่งสหประชาชาติประจำประเทศไทย (UNDP) ร่วมกับมูลนิธิสถาบันวิจัย

F2 Trading Corp : Unlicensed digital asset business (Disclosure Date : 09/08/2019)

GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)

orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially