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
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
, the https://www.sec.or.th/EN/Pages/LawandRegulations/EmployeeStockOptionProgram.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1
related to the companies’ operations because disseminating news or information that is inconsistent with facts or may cause material misunderstanding and subsequently an impact on the securities price or
approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the