orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received
application by using the name and signature of a friend of hers. In case of {B}, the SEC directed KTB Securities to conduct further probe into the case. As Panadda previously claimed, {B} admitted that she
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
. The trend of Thai Baht value has directed to the volatility and weakened when compared with US Dollar after the US central bank announced the policy of raising interest rate in December. However, the
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
standards had revised or prepared to align their content with the corresponding International Financial Reporting Standards. Most of the amendments were directed towards revision of wording and terminology
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the
shareholders 1/2018 on April 25, 2018, the executives of Blue Finix has reported in the meeting regarding the loss performance. Therefore, the shareholders have directed the executives of Blue Finix to prepare