30, 2013 that Mr. Sathit was the owner of ABC shares. Such action aided and abetted Mr. Sathit to violate section 247 and was to conceal that Mr.Sathit was the owner of ABC shares. SEC Act S.247 in
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
filed in the name of Mr. Porameth Rungrongtanin and did not disclose that Mr. Sathit was the owner of ABC shares. SEC Act S.247 Settlement Committee Meeting No. 9/2018 Settlement Committee Order No
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
1000X Limited Since January 12, 2022, 1000X Limited ("1000X"), the owner of https://www.1000x.live ("1000x.live"), has provided services or held itself out to the public as
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of