prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the

Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee

trade securities in the client's account without permission in order to achieve better performance.      {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market

Exchange Act in order to ensure that the enforcement of the law and the enhancement of the protection of investors in the capital market will be more effective and consistent with the suggestions received

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

for screening the volunteers with annual assessment in order to help protect interest of shareholders and investors continuously and create confidence on investment in capital market.Furthermore, TIA

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

Sakkarin while in fact Sakkarin did not execute any purchase order of such shares. Later, Sakkarin lied to the client that his shares in the client's account had been sold with capital gain and he wanted his

order to maximize benefit for the Company, the Management decided to manage liquidity by invested in short-term promissory notes of Asia Capital Group Public Company Limited in the amount of THB 100