from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

, registrars, depositories and regulators – to examine bond information more conveniently and rapidly while benefiting from less redundancy and shorter timeframe for book closing process.    ThaiBMA’s

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine

Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities

whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all

ratio was also close to the target, at 43.96 percent. At the same time, our robust capital position was sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement. As

ratio of 15.73 percent, remaining sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement, being 11.50 percent and 9.00 percent, respectively. All of the above endeavors

quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best

sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or

appropriate methods and in sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order