Bangkok, Sep 4, 2012 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Somchai Chaisrichawla while the Settlement Committee imposed a fine on Chaninan
Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In
companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
business continuity and Market Intermediary Business Continuity and Recovery Planning document http://www.iosco.org/ 2 companies, such as submission of securities trading order, clearing and settlement and
ทุนจดทะเบียน ตาราง 1: ธุรกิจหลักทรัพย์/สัญญาซ้ือขายล่วงหน้า ระดับทุนใน ปัจจุบนั (ลบ.) ใบอนุญาต หลักการที่เสนอแก้ไข รับผิดชอบต่อ clearing & settlement เก็บรักษา ทรัพย์สินลูกค้า อื่น ๆ 500 package ใบ
information) และ การเปิดเผยขอ้มูลภายหลงัการจบัคู่ซ้ือขาย (post-trade information) แต่ ไม่รวมถึงระบบ post-trade ท่ีเป็นบริการช าระราคาหรือส่งมอบหลกัทรัพย ์ (clearing & settlement) และนายทะเบียนหลกัทรัพย ์ซ่ึง
Holdings Plc. (TRAF) (currently M Pictures Entertainment Plc. (MPIC)) from November 15, 2007 to January 9, 2008.The SEC, on March 24, 2011, disclosed that the Settlement Committee in accordance with the
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