had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
instruments; (2) “securities company” means a company licensed to undertake securities business in the category of securities dealing; (3) “counterparty” means a person who trades securities with a securities
Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities company licensed to undertake securities
Mr.Suthep Akkawuthikrai Mr. Suthep Akkawuthikrai, a former authorized director of Picnic Corporation Plc. (“PICNI”), colluded with Mr. Suriya Lapvisuthisin, as an instigator, with two other PICNI
Mr. Phanuwat Lertviset Mr. Phanuwat Lertviset, former authorized director of Picnic Corporation Plc. (“PICNI”), colluded with Mr. Suriya Lapvisuthisin, as an instigator, and two other PICNI
licensed to undertake securities business in the category of mutual fund management; “private fund management company” means a securities company licensed to undertake securities business in the category of
securities or other assets; “management company” means mutual fund management company or private fund management company; “mutual fund management company” means a securities company licensed to undertake
funds; “ management company ” means a mutual fund management company or a private fund management company, as the case may be; “ mutual fund management company ” means a securities company licensed to