. Meanwhile, the current regulations on such criteria has not yet covered risks associated with custody of clients’ assets for the digital asset business operators who can access into or transfer customers
refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty
the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
acquisition would still be a cost-effective investment because ADAM would be able to offset the 96 million baht difference with the projected initial 100 million baht earning from the new construction phase
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
Company Limited (LIVE)) and their associates, in the total of nine persons, with the Department of Special Investigation (DSI) on account of jointly committing dishonest acts to misappropriate TRITN assets
the next two years from June 16, 2011. The order has been issued after the SEC?s finding indicated his serious audit mistake and failure to comply with the auditing standards in performing the audit of
information he had obtained by virtue of his positions to sell SLC shares and for imparting a false statement with the intention to mislead any person concerning facts sensitive to the SLC share price