undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019 Unofficial Translation 14 June 2021 Attn: President of the Association of
Recipient : Thai Wacoal Plc. Service Provider : International Commercial Coordination Co., Ltd., a connected party to the company (3) Details of the connected parties and their relationship nature : Director
) Transaction date : January 1 - December 31, 2019 (2) Transaction parties involved Service Recipient : Thai Wacoal Plc. Service Provider : International Commercial Coordination Co., Ltd., a connected party to
Commission No. KorThor. 4/2543 Re: 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
: 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
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