foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
global market environment. This year we are also celebrating the 20th anniversary and rebranding the SEC identity as a modern regulator and a visionary partner while staying committed to our working
procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring
No CS 03/2018 February 21, 2018 Subject Declaration of Operational Results for the Year 2017 Attention Directors and Managers The Stock Exchange of Thailand For the three-month period ended December
such manipulation, in the total amount of 2,166,666.66 baht.Details are as follows: (1) ASCON price manipulation: following the Stock Exchange of Thailand (SET)?s report on irregular trading of ASCON
Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting
Mr. Tanat Plengsrisuk Mr. Tanat Plengsrisuk allowed Mr. Tikhamporn Plengsrisuk (his father), to use his securities trading account to conceal identity of Mr. Tikamporn on 14 May 2020 who was knew or
stock. The SEC finding showed that {D} sent trading orders on behalf of the client and informed him afterwards. {D}'s actions were deemed unfit for the status of investor contact. The actions of three
by financial advisor Bualuang Securities Public Company Limited, lacked sufficient details of the ultimate tender offeror and contained no information on the identity of the shareholders or the person