Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
quarter during the past three years (2007-2009). {A} had access to this inside information by virtue of his position as a {X1} director at that time.{A}' s action was deemed the violation of Section 241 of
accuracy of financial statement information, less time-consuming process and lower cost for public and private sectors.? The SEC gave advice on standardizing taxonomy by taking into account the relevant
Bangkok, July 17, 2015 ? The SEC supported debt securities issuer to make debt securities offerings with more convenience, less time-consuming, and in line with international practices. Rapee
executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the
rules, issuer will be barred from the following PO submissions for a certain periods of time. Aforementioned revised rules has already been effective.
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
newly established holding company, which owns subsidiary with a certain period of time in business operation, to use a pro forma annual consolidated financial statement prepared as if the holding company
Mr. Chatchai Chotanakarn During 23 - 27 June 2014, Mr. Chatchai Chotanakarn, at the time he was holding the position of Adviser of President of Bangkok Life Assurance Public Company Limited (BLA