trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
43.99 million which resulted in TUCC’s Baht 104.86 million loss in Q2/2011. Mr. Yongyuth also gained the benefit from his suggestion. He gained such material non-public information by virtue of his
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
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
their own benefit. The second one prescribes a due date for payment of unit redemption within 7 days which is in line with ASEAN standards. The consultation paper is available on www.sec.or.th
procedures to support funding of startups. Direct investment in startups or indirect investment through VC and PE Trust is eligible for the tax benefit. The SEC regulations have been published in the
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through
as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of