business on their behalf in order to ensure that the delegation is duly carried out.  SEC has made the public hearing document available at  www.sec.or.th/hearing. Related persons and interested parties

made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their

ภาคประชาชน เช่น SEC Check First, SEC Bond Check, SEC Fund Check, SEC Open Data และบริการสำหรับผู้ประกอบธุรกิจในตลาดทุน เช่น e-License, e-Document และ e-Reporting รวมถึงการยกระดับประสิทธิภาพการกำกับดูแล

Thienhom, SEC Deputy Secretary-General said that "In case of using customer trading order report in substitution for order ticket, the document must be prepared according to the SEC circular No. SEC.Thor

revenue with the SEC, they did not raise any observation in documents supporting the said clarification despite various factors indicated doubt on document authenticity;3. For the filing, the financial

he obliged under any binding document to sell such assets to repay his debts. Moreover, it appears that NIPPON did not check the existence of such assets or appraise the value in consideration of the

ID document requirements to other matters such as exercise of right offering or share warrants,? she added.

Design Co., Ltd., Montian and Chai (or Kittiwut) were guilty for aiding or abetting document falsification. However, as all the defendants pleaded guilty, the Court reduced the punishments by half

derivatives exchange and at least prepare disclosure document indicating risk associated with derivatives trading on foreign derivatives exchange which at least contains particulars and substances under the

)   เอกสารรับฟังความคิดเห็น แบบสำรวจความคิดเห็น   เอกสารรับฟังความคิดเห็น เอกสารแนบ Hearing document (English version) Hearing document (English version) - Addendum   วันที่สุดท้ายของการให้ความคิดเห็น : 22