products Type 2 (IC complex 2**) and specified a period, during which her resubmission for an application for an approval as a capital market business personnel would not be accepted, for nine years and
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information
baht during 13-20 March 2020, and the reduction and cancelation of BOT bond issuance, while the Monetary Policy Committee has reduced the policy rate to the record-low level of 0.75 percent per year
out and paid to the unitholders at a price higher than the market price at the time. Chanyarat used the information above to buy UOB8TF units into her securities account during 20 August 2015 – 11
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that during 4 - 22 December 2014, 13 persons colluded to manipulate the price of
market business during the period he is prosecuted. In addition, the SEC investigated the Investment Committee of Solaris Asset Management Co., Ltd. in authorizing the mutual fund to invest in debt
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
from an investor who is not a client of RHB and the SEC’s further investigation into the case, it was found that during June 2020 – May 2022, Phisit had solicited investors to open securities trading
had continuously made during July 2009-March 2011, worth a total of nearly B1,500 million. The aforesaid transactions are deemed connected transactions and/or the acquisition of assets, which SCAN was
months, effective from March 19, 2015. During the suspension period, moreover, the Bank must not allow her to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(2