. Between 4 January 2019 and 5 September 2019, Mr. Anurak placed purchasing and selling orders of ABT ADA BSV CVC GNT IOST JFIN KNC LINK LTC MANA OMG SNT USDT WAN XLM ZIL to match with each other which misled
issue orders relating to the value of transactions; (3) In case where a company or any of its subsidiaries disposes of all of its assets or substantially all of its assets used in the normal course of its
/Documents/ActandRoyalEnactment/Act/translate-trustact.doc 6409pe.doc electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products
deadline for KC special audit report 06/01/2017 K.C. PROPERTY PUBLIC COMPANY LIMITED SEC orders KC to amend financial statements and arrange a special audit 29/04/2016 AI ENERGY PUBLIC COMPANY LIMITED SEC
buying and selling such shares. Sippakorn helped to provide three trading accounts for submission of trading orders while Rinnapa allowed trading orders to be submitted through her account. Such
clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
including the notifications, regulations or orders issued under the said law, and shall also meet the requirements in this Notification. Clause 22 The information disclosed to the investors shall not contain
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to