rate of 2% per annum as follows: 1. A loan by the disbursement of advance payments in the amount of THB 80 million, whereby GSC has received the principal repayment and will collect payment of interest
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to comply with the civil sanction. Later, on 26 February 2018, the public prosecutor filed a legal action against Surasak and Ekkamon with the Civil Court after the SEC had submitted the case for the Court to impose the civil sanction on them in the Undecided Case No. Por. 1060/2561 between the SEC...
;">ที่ กลต.ธ.(ว) 4/2552 เรื่อง การปรับปรุงวิธีจัดส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement)
information and forward-looking statements were different from the information disclosed in the registration statement, the SEC today has received Mr. Sompoch?s confirmation that the information disclosed in
that the option to sell the remaining shares shall be exercised upon the confirmation from SBITO that the services provided by the Company are completely transferred and handed over to SBITO. Therefore
Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of
Confirmation on Blockchain) ซึ่งนำกระบวนการการออกหนังสือรับรองทางการเงิน (Bank Confirmation) มาพัฒนาร่วมกับเทคโนโลยี Blockchain เพื่อเข้ามาสนับสนุนการทำงานของผู้สอบบัญชีและธนาคารในการตรวจสอบบัญชีของบริษัท ซึ่ง
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading
transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
Confirmation of Clients _______________________ Clause 25 After a client has made a decision for investment or entering into a transaction, an intermediary shall report or inform the result of the performance to