Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being
Miss Keerarat Viphosupan help Mr. Yinganan to buy and sell SSPF securities by offer money transaction in buying and transfer the money which her receives from selling this securities for Mr. Yinganan
reflected a recovery and a promising future as can be seen by the V- shape in both Automotive Production and Automotive Parts Export. This was a result from the easing of lock down restriction in Thailand and
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
to the allocation of shares under aforementioned allocation restriction shall be referred to as the “Entitled Shareholders for the Allocation of Shares”. For the purpose not being considered as in
FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market