accordance with the specified qualifications and prohibited characteristics. In addition, the revised rules require directors and managers of securities and derivatives business operators to pass training
(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
non-public information material to SPSU share price. As {A} was one of the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of family members, they learnt of a draft Memorandum of
suitability test before letting clients make an investment, as specified by the SEC regulation. ?Our mission is to protect investors as well as facilitate fundraising for business sectors and develop financial
Mr. Boon Vanasin During the period of 18 February 2022 to 28 August 2023 (totaling 369 business days)The 14 offenders above are: (1) Mr. Boon Vanasin, (2) Mrs. Charuvarn Vanasin, (3) RATCHATHANI