(Form 56-2, 2021) to the SEC within the specified period. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the
Earlier, Mr. Suphanan acting on behalf of IFEC sent a letter requesting the DBD to reveiw its order denying the registration of Mr. Wiphu Maharakkhaka and Mr. Manusak Deawwanich on IFEC directors
customers' digital assets in digital wallets http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 3/2023 Dated 21/06/2023 assets in accordance with the notification of the SEC for
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
^10000&ps=2&mm=100&qf=title_th_default&fq=system_name%3AEnforcement&start=20&rows=10 21 - 30 of 171 results Sort by: Relevance Date (Newest) Date (Oldest) Settlement Committee Order No. 1/2023 Dated 24/04