that underlie the inspection findings as well as appropriate solutions. For more details, the full report is available for download at the IFIAR website (www.ifiar.org).Vorapol Socatiyanurak, SEC
the group. They also boosted up UKEM share's closing price from 2.60 baht per share on July 18, 2008 to close at 6.20 baht per share on August 20, 2008; resulting an increase of 3.60 baht or 138.46
of Thailand (SET), the Federation of Thai Industries, Thai Chamber of Commerce, Investment Banking Club and participating approved auditors. At present, 289 companies from 42 provinces joined the
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
Ministry of Finance, with remaining time to maturity not more than one year. In addition, the companies must calculate the market prices of the invested instruments at least every business day to ensure that
นางพรอนงค์ บุษราตระกูล เลขาธิการสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ได้รับเชิญเข้าร่วมเสวนาในหัวข้อ “Reforming the Market: Capital Markets at an Inflection Point” ภายในงาน
ขายล่วงหน้า และตราสารที่มีสัญญาซื้อขายล่วงหน้าแฝงอยู่ เป็นต้น (1. หนังสือเวียนที่ กลต.กน.(ว) 1/2559 กำหนดให้ บลจ. ต้องคำนวณฐานะการลงทุนโดยใช้วิธี VaR (value-at-risk) approach ในกรณีที่
against Mr. Suphan Sethapanich for this offense at the same time. The public prosecutor decided not to pursue the case in court and the case was deemed final. SEC Act S.281/2 paragraph 2 311 283