from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed. 27/09/2022 referred the case to a state attorney for filing a
from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. 10/01/2023 agreed to comply with
offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. 16/01/2023 agreed to
Expo’s offence was resulted from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed. 17/08/2023 referred the case to a state
offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. 30/01/2023 agreed to
แนวทาง (guideline) การปฎิบัติตามหลักเกณฑ์การอนุญาตให้เสนอขายหุ้นที่่ออกใหม่ต่อประชาชนเกี่ยวกับการกำหนดคุณสมบัติของบริษัทในเรื่องไม่มีส่วนเกี่ยวข้องกับธุรกิจที่ไม่ชอบด้วยกฎหมาย (แนบท้ายประกาศ นป. 1
รายย่อย รวมถึงการกำหนดแนวทางปฏิบัติ (guideline) ที่เกี่ยว
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with