. Moreover, he was found to have used the trading accounts of two other clients to buy securities for himself because his sister's account had reached its maximum credit line. All these acts have causd a large
) the Government Pension Fund, (8) National Credit Bureau Co., Ltd., (9) the Thai Bankers Association, (10) the Government Financial Institutions Association, (11) the Government Savings Bank, (12) the
on the company?s transactions of purchases, sales, debit and credit notes during the year with YS Pund Co., Ltd., verification on YNPE?s machinery and equipment, and confirmation on discount sale
Conduct dated 14 October 2009. Kruawan had traded securities through her client?s account every business day. Her trading manner with high frequency and trading volume, when compared to the client?s credit
} had informed the client the trading results via email while RHB OSK Securities (Thailand) Plc. had sent trading transaction confirmations, statements of cash, collateral settlement, and credit balance
ก.ล.ต. กำหนดให้สาขาธนาคารต่างประเทศที่ออกและเสนอขายตราสารหนี้เน้นเปิดเผยข้อมูลของสาขาไว้ในแบบ filing และงบการเงิน พร้อมใช้ credit rating ของทั้งสาขาและธนาคารต่างประเทศ (สำนักงานใหญ่) เพื่อให้สะท้อน
the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest
securities registered with the Thai Bond Market Association; “Thai Bond Market Association” means the Thai Bond Market Association licensed by and registered with the SEC Office. The terms, “credit rating
bondholders; “financial advisor” means a financial advisor on the approved list of the SEC Office; “financial institution” means a commercial bank, finance company or credit foncier under the Law on Financial
% Profit/(loss) before income tax expense 1,987 2,742 (1,984) -200% -172% 6,204 3,728 -40% Income tax (expense) credit (298) (526) 509 -271% -197% (41) (493) N/A Profit for the period 1,689 2,216 (1,475