of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's
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
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
Public Company Limited (TIP), sold 1,561,600 of TIP shares through its own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact
Zipmex Company Limited During May 8, 2022, to July 20, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, induced its own customers to deploy
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B
Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, by allowing his own
and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account. This case is under consideration of
. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account