the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of
director? opinion for further consideration on each director ?s performance under the SEA. With respect to this transaction, the SEC closely coordinates with the Stock Exchange of Thailand (SET) in support
Exchange Act B.E. 2535 (1992) (SEA). In this regard, the Settlement Committee imposed a fine of 768,925 on Arnonchai. Due to his previous offence on share price manipulation, the Settlement Committee
. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
prescribed by the Federation of Accounting Professions under His Majesty The King?s Royal Patronage in line with International Financial Reporting Standards (IFRS) that will be effective this year. Besides
operators and disseminate information on benefits of the Thai capital market to be seen as a source for fund raising which is not less important and attractive than loans from financial institutions. This
; while for inquiries in this matter, please call 0-2263-6000.
in the near future. On the contrary, the WIN?s Board of Directors and Audit Committee opined that the transactions are appropriate and beneficial to the company. In this regard, the SEC advised WIN
resulted in the large private hospital operator and increase in {X1}'s revenue from larger market share.In this regard, {B} and {C} aided and abetted {A}'s action by letting him trade {X1} shares through