clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of
different from the IFA?s opinion in that such modification is considered as the building repair in accordance with the order of the local authority, by virtue of Section 46 of Building Control Act B.E. 2522
clients by virtue of their actions. The {D} case is deemed as using client account to trade securities for herself by using non-financial institution loans. Their misconducts are therefore in violation of
Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange
approach) และลดหลักเกณฑในลักษณะที่กําหนดคุณสมบัติ (merit) เพื่อให issuer และ ที่ปรึกษาทางการเงิน (FA) มีความรับผิดชอบตอขอมูลที่เปดเผยตอผูลงทุน สํานักงานจึงไดจดัทําเอกสาร ฉบับนี้ขึ้นเพื่อรับฟงความคิด
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and