prohibited from trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for one year and six months, and banned from
derivatives broker. Such trading shall be made through off-exchange with a counter party that is a financial institution or a foreign financial institution or through derivatives exchange. Clause 5. The
under the Counter Corruption Act and the https://www.sec.or.th/EN/Pages/LawandRegulations/SharePO.aspx Thai RelatedPartyTransaction อำนาจควบคุมกิจการ ญาติสนิท บุคคลที่เกี่ยวโยงกัน การวัดขนาด
deposit slip with the name of another client who was related to himself. The transferred money then paid for the related client?s trading transactions, subscriptions for on-the-counter securities, and
executed trading orders through the aforesaid trading accounts. {A} had denied all the accusations without adduced counter evidences. Later, she agreed to enter the settlement procedure and made the fine
derived from a variety of products, including, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own account, bond dealing, private
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of
which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of such error
, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own account, bond dealing, private repos and other investments. KGI Securities