, Challenges and Assessment Methods.” Registration is valid until Monday, 31 August 2020. The online training course can be taken until Friday, 30 October 2020. Interested persons can find out more about the
main business is private fund management, to solve the detected issues in accordance with the standards and guidelines for business operation. The company has already taken action accordingly
professional knowledge and expertise in performing duties. Another investor contact is reprimanded for performing unassigned tasks. All cases have taken effect as from December 31, 2011.Suspensions: {A}, an
whether there was any unusual trading during such period of time was also taken into account, the results of which are as follows: 1. Cause of temporality halt on the SET?s trading system Circuit
the one who forged the client?s signature in the investment unit buying order for himself, using money that Thanjira had taken from the client?s private fund and investment unit accounts. The signature
of clients refusing to pay for SECC share purchase transactions which caused damage to brokerage firms, the SEC directed the affected companies to immediately report the impacts and actions taken to
disclose its legal risks, mark-to-market financial position, actions taken to follow the CMSB?s orders, and progress of its capital increase plan to its new creditors beforehand.The SEC had earlier ordered
during 26 November 2021 - 25 January 2022, the SEC has taken the public’s and stakeholders’ comments and suggestions into consideration to conduct another hearing to propose amendments to the PVD Act to
December 12, 2009. As for Nopakun case, the SEC, in response to investor complaint, found from a securities firm?s inspection that Nopakun admitted to having taken securities trading orders from the account
significantly from the preceding quarter. Jajjai had taken advantage of the information to sell 1.3 million MODERN shares through the trading account of his daughter Benjamas before the company disclosed the