(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
participants should strive toward in order to improve investor protection and the fairness, efficiency and transparency of securities markets, and reduce systemic risk. The Principles apply to all types of CRAs
in the Extraordinary General Meeting of Shareholders No. 2/2020 held on 17 June 2020 of Rich Asia Industry Company Limited (“Subsidiary Company”) in order to do legal registration of transferring 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
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
business efficiency along with knowledge- based assistance and business networking in order to efficiently expand our customer base and ensure swift and accurate service provision at all times in accordance
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
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete