e-service Online Submission Business Operation Rules >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission SorThor
) before the company disclosed the financial statements for both quarters to the public via the SET Electronic Information Transmission System. Sarath's securities purchase took advantage of material, non
become effective since 15 December 2022. Pursuant to ISQM 1 and ISQM 2, audit firms are required to have a quality management system which gives more oversight responsibilities to executive auditors, while
disclosed the Q3/2015 financial statements through the SET's Electronic Information System on 13 November 2015.Ravi's misconduct was deemed a securities purchase based on a non-disclosed, material fact that
made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their
processed. Instead, he falsified documents to deceive the clients that their orders had been executed. He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
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