: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the
. The major causes could be concluded as follows: 1. In the second quarter of 2018, the company had income from sales services and electricity sales by subsidiary company amounting to Baht 276.54 Million
indices have been largely influenced by the fundamental factors in the U.S. ?Noise trading behavior analysis in the SET? was presented as the second research paper. Although the 2010 study concluded that
meeting concluded that SEC would revise the supervision regulations which are problematic or unnecessary (regulatory guillotine) and consideration would be given to the differences in business models
, and (8) Mr. Suthichai Yoon.In August 2016, the public prosecutor concluded the consideration of the case and prosecuted the aforesaid persons on the ground that, as NMG directors and executives, they
meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at
SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the
each element, it can be concluded that the ‘acceptance and continuance of client relationship’ element achieved the best average score. In the 3 cycle inspection, seven from thirteen audit firms
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana