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
payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private
payment information of intermediary for money transfering between customers and intermediary; (3) sending transfer instruction to banks as an agent for intermediary. “fund” means mutual fund, private fund
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
) Category I: Prohibited Characteristics: 1. being a person put under receivership, or being bankrupt, incompetent, or quasi-incompetent by a court’s order; 2. being a person under prohibition by the Stock
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
, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one
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