account owner. Meanwhile, Patcharee took trading orders from an unthorized person. Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
) “analysis of securities investment” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the value of securities or the suitability
(execute transaction) เพ่ือการส่งค าสั่งซื้อขายให้ลูกค้า ไม่อยู่ภายใต้การก ากับดูแลของแนวทางที่เสนอ เนื่องจากเป็นเพียงการอ านวยความสะดวกในการส่งค าสั่งซื้อขายหลักทรัพย์ทาง online โดยไม่มีการน า algorithm มา
practices on personal data protection in compliance with the Personal Data Protection Act and supporting the issuance of subordinate rules and regulations under the Act which will be effective in 2021
three application forms into one, and reducing the required supporting documentation from 19 to 7 documents. The proposed actions above are expected to help cut down paper consumption by 15,000 sheets
total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014
decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale