listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial

investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training

combination of the following activities: (1) Attending training courses or seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full

securities companies? efficiency where quality of personnel in securities business either investment consultants or back office staff, will be strengthened. For investment consultants, training on wealth

price and/or trading volumes of COMAN stocks during 24 May – 18 June 2021. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group

. Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said “Currently, there is a trend that the new generations are interested in investing in capital market products including stocks, mutual funds and

his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three

trading orders or trading MBAX’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities

redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand