., imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the violation ends.The SEC, therefore, filed the criminal complaint against the three
baht or 129.78 percent rise, and the average daily trading volume increased from 0.37 million to 4.33 million shares.Chayanont?s action caused the price and trading volume of CHUO shares during his
and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the period of violation ends. The SEC, therefore, filed a criminal complaint against Mr. Malpas with the ECD Police for
ทรัพย์ที่ บล. สามารถทำธุรกรรม repo/reverse repo กับผู้ลงทุนที่ไม่ใช่ผู้ลงทุนสถาบันให้ครอบคลุมถึงหลักทรัพย์จดทะเบียนและหน่วยลงทุนของกองทุนรวมเปิดที่กำหนดวันทำการซื้อขายหน่วยลงทุนทุกวันทำการ (daily
200,000 to 500,000 baht, and a further daily fine not exceeding 10,000 baht for every day during which the contravention continues. ________________________Remarks:- The Ministerial Regulation Re
price soared from 4.92 baht per share on July 23, 2009 to 8.10 baht per share on August 26, 2009. Moreover, MILL share's average daily trading volume jumped from 0.63 million shares to 6.77 million shares
yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d) mission statements e) newsletters f) memorandums g) routine e
{ก} ต่อไป ก.ล.ต. พบการกระทำผิดดังกล่าวจากการเข้าตรวจสอบบริษัทหลักทรัพย์ {หนึ่ง} จำกัด (มหาชน) ตามแผนงานตรวจสอบตามปกติ (routine inspection) โดยพบความบกพร่องในระบบงานการทำความรู้จักลูกค้าและตรวจสอบเพื่อ
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection