Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application
trading activities of ABC shares were inconsistent with normal market conditions. As a result, the closing price jumped from 2.38 baht to 7.80 baht and the daily trading volume significantly increased from
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted
both securities were also stabilized to mislead that the securities were actively traded. Such trading pattern had been done on a continual basis causing the trading of both securities to be inconsistent
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
waiver is neither inconsistent with nor contrary to the rules relating to the protection of the investors in the host country where such mutual fund offers investment units for sale; Clause 11 In the case
are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued under or prescribing guidelines for compliance with this