such Law; (2) provision that in the case where any requirement in the mutual fund scheme or the commitment is in conflict or inconsistent with the rules issued by virtue of the Securities and Exchange
Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application
that YCI shares were traded in big volumes. Such manipulation caused the price and the trading volume of YCI shares to be inconsistent with the normal market condition. In so doing, Siwasit was assisted
that are inconsistent with international standards or insufficient to protect investors' interest efficiently."The new Securities Law covers six areas as follows:(1) Enhancing flexibility of
trading activities of ABC shares were inconsistent with normal market conditions. As a result, the closing price jumped from 2.38 baht to 7.80 baht and the daily trading volume significantly increased from
KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2