. 1.2 Short Selling Any customer may short sell securities through their cash accounts as opposed to margin accounts only, which was previously the case provided that the securities company is confident
had taken action so that the persons possessing the prohibited characteristics under (1), (2) or (3) would evade the application of the rules under (1), (2) or (3) by the SEC Office against those
characteristics of personnel in securities business or violates or fails to comply with Clause 13, the Office shall take actions against such person following the rules and procedures prescribed by the Notification
Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business or violates or fails to comply with Clause 13, the Office shall take actions against
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
SEC files criminal complaint against 11 SLC share price manipulators Bangkok, September 9, 2014 ? The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against
executives from the Executive Database when such complaints are filed or cases proceeded; 2. Having been brought an action against by private individuals or entities, in which case the SEC shall consider
, 2004 the SEC filed complaints against nine alleged offenders: (1) Chartered Asset Management Co., Ltd. (2) Bowen Reece Co., Ltd. (3) Harvey Dunbar Co., Ltd. (4) CJB Asia Co., Ltd. (5) Desktop Marketing
Q4 2017 reached 1,841.58MB, an increase of 31% from 1,408.07MB in Q4 2016. This mainly resulted from a 31% increase in USD zinc price despite a 7% appreciation of Thai Baht against USD. The USD zinc
Fining Committee, the SEC therefore filed a criminal complaint against him with the inquiry official. DAB Act S.30 Settlement Committee Meeting No. 7/2022 Settlement Committee Order No. 6/2022 Dated 28/06