, the SEC found convincing evidence indicating that during January 15- July 2, 2002 Apichart, Ratchanee, Krisda and Preecha traded KARAT?s shares through the accounts of Rachanee, person close to
(SEA). The SEC will later work on details of regulations.2. LBDU licensees that submit orders for investment unit trading through members of the Stock Exchange of Thailand (SET) must comply with net
? aims to promote employees? financial literacy and skills through programs organized by both public and private employers. With employers? participation, financial education program can help support their
agents. Without obtaining derivatives license from or being registered with the SEC, they advertised through various media channels including Facebook and solicited investing public to invest in gold in
probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a
into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of
foreign company launches public offerings of shares through the holding company founded in Thailand as though the foreign company indirectly offers for sale of shares through such holding company, the
close down without providing advanced notification to the SEC. The companies, however, must provide service channels for their customers, i.e., submission of trading orders through its headquarters. (2
documents introducing the company through email or facsimile. The documents consist of (1) investment information (2) calculation methods for returns and (3) relevant information on to mislead investors that