purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
Bangkok, April 24, 2013 ? The SEC revealed that the Settlement Committee imposed a total fine of 28,472,689.29 baht on Choavalit Limpanich, Yanyong Nitisaroj, and Ziriwat Anunkusri, for purchasing
manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions
account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
to reduce the risk of not obtaining a renewal approval in time. The amendments were published in the Government Gazette on 31 May 2024 and will become effective from 1 September 2024 onwards. Note