placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. 12/01
characteristics in such case as the ground for prohibiting such person from performing duties. In this regard, the SEC Office may subject such person to certain condition or timeframe on a temporary basis. Clause
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
from all sectors, leading to a well-functioning capital market ecosystem in current conditions and into the future. Our collaboration will enhance market efficiency and contribute to the development
society. Additionally, an investor data hub will provide comprehensive wealth management tools, functioning as a wealth aggregator for investors. Moreover, strengthening the role of domestic institutional
./month Other service fee is calculated from cost-plus method, which is a normal trading condition offering to general persons. Rental Period: 1 Year (1st October 2017 – 30th September 2018) Total
Maintenance of Financial Condition of Licensed Derivatives Broker 29/12/2017 16/01/2018 2. Notification of the Securities and Exchange Commission 28/2558 (Synopsis) 02/12/2015 16/12/2015 3. Notification
conditions as follows: (1) If other businesses do not have a high investment value and have systems in place to support their work and financial condition as specified, business operators may undertake
KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam