could influence the securities price to gain unfair benefit over other persons, liable to the offenses under Section 241 of the Securities and Exchange Act B.E. 2535 (1992) and criminal penalties under

of exchange issued, accepted or avaled by or drawn on financial institution will no longer be exempted but will be defined and regulated as securities under the Securities and Exchange Act B.E. 2535

which were investment in gold futures, not spot gold. Accordingly, the actions of G.O.L. (Thailand) were in violation of the Derivatives Act B.E. 2546 (2003), Section 16, subject to sanctions under

is an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers in 2009. The Framework aims to facilitate cross-border offerings of Equity Securities and Plain Debt

derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel

Bangkok, October 24, 2014 ? The SEC and the Faculty of Business Administration, National Institute of Development Administration (NIDA) co-organized the ?4th SEC Working Papers Forum,? under the

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

products and under specific conditions.? The revised regulation will widen availability of foreign CRAs? rating information on local and foreign financial products or businesses so that local investors can

requirements under the terms and conditions. The company will therefore reconvene the meeting electronically on 3 October 2025 at 14.00 hours. The matters for consideration are as follows:    (1) Approving the