Companies dated 29 June 2006. Clause 2 In the Notification: “electronic data” means data that are created, sent, received, stored or processed through electronic procedures; “securities company reporting
Companies dated 29 June 2006. Clause 2 In the Notification: “electronic data” means data that are created, sent, received, stored or processed through electronic procedures; “securities company reporting
as originally intended by the investor. In so doing, she made and sent false documents to the investor to lure the investor into believing that the subscription transactions had been executed
submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders
Earlier, the Civil Sanction Committee decided to impose civil sanctions on Mr. Surin Banyongponglert in the case where he had sent trading orders of PICO shares in the manner of price manipulation
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
mentioned above – having business relationships and/or direct personal relationships or connection through related persons – collaborated and sent trading orders of shares of Nation Multimedia Group Public
own assets deposited with the company through Zipmex’s official communication channels. Further inquiries may be sent to the SEC Complaint Center via Hotline 1207 ext. 8, or email: info@sec.or.th, or
On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) (Digital Asset Business Law), the SEC sent a letter to Zipmex ordering
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...