rendering a financial support that will later generate the right to acquire shares of such business, and being 2 involved in the supervision of the business plan, the operation or the improvement of the
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives
shares through accounts of Somchai and another client by splitting the orders.The acts of {B} were deemed as using client securities trading accounts to trade securities for others and sending
bondholder register to determine the list of the meeting attendees and the timeframe for sending the invitation to the bondholders’ meeting; Agenda 2: Consideration for approving a waiver of
because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to
years for his assistance in the FOCUS share price manipulation by providing trading accounts, sending trading orders and arranging financial matters. The Settlement Committee had previously imposed a fine
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019