honored participants in the workshop which took place on 21 February 2024 at SEC Building.
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 Investment consultant ("IC
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 arranging and keeping
to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the
in cash and generate a flow of receipts in accordance with the rules specified by the SEC. “originator” means a person that transfers or will transfer an asset to or places or will place an asset with
flow of receipts in accordance with the rules specified by the SEC. “originator” means a person that transfers or will transfer an asset to or places or will place an asset with a special juristic person
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
. Ekkamon Chuntori and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning
”) through his securities trading account and clearing such transactions for Mr. Surasak’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price