manner indicating unfair practice or taking advantage of investors, or involves in or abets, or has involved in or abetted such act of other persons; 6. having reasonable grounds to believe that the person
shall not have any restriction to redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with this notification and its
or promissory notes shall not have any restriction to redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with
redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with this notification and its guidelines specified for
and Exchange Commission, Thailand (“SEC"), as a public agency with a mandate to supervise and develop the Thai capital market, has laid out the strategic plan for the year 2022 – 2024 to further support
regulate country’s financial system, issue regulations and control financial institutions, circulate banknotes, supervise international money transfers, and monitor exchange rate of Thai Baht against foreign
regulate country’s financial system, issue regulations and control financial institutions, circulate banknotes, supervise international money transfers, and monitor exchange rate of Thai Baht against foreign
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
{ก} มีส่วนในการกระทำผิดของบริษัทและละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) โดยเป็นผู้อนุมัติการเปิดบัญชีและเพิ่มวงเงินให้กับลูกค้าหลายราย ทั้งที่ลูกค้าดังกล่าวมีเอกสารทางการเงินไม่ครบถ้วน