Companies dated 29 June 2006. Clause 2 In the Notification: “electronic data” means data that are created, sent, received, stored or processed through electronic procedures; “securities company reporting
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
-2741-5700-5/Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 015/62 April 9, 2019 Subject : Notification for Resolution of Board of Director's Meeting No. 3/2019 regarding the Acquisition and
on the misconducts of {A}, an investor contact of Siam City Securities Co., Ltd. , stating that {A} sent securities and derivatives trading orders continuously in large amount without evidence of
หลักทรัพย์และตลาดหลักทรัพย์ Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures
on the client's behalf. The communication record showed that {B} sent trading orders and afterwards informed the client who did not reject the transactions. The record also proved that he did not
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
May 2020, SEC sent a circular to AIMC, the Provident Fund Association and the asset management companies with PVD portfolios, notifying the Notification of the Finance Ministry and requesting that asset
channels to unitholders because the fund’s annual report has already been required to be sent to unitholders and published on asset management companies’ websites. Also, the rules on fund manager training