on the client's behalf. The communication record showed that {B} sent trading orders and afterwards informed the client who did not reject the transactions. The record also proved that he did not
specified by the tender offer rules, Bee on January 27, 2014 sent the SEC a letter explaining his purchase of EIC shares to the Sub-Committee on Business Takeovers .The fact that Bee sold all 1,017,500 EIC
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
Directors approves. 3. Allow the buyer to make an acceptance letter in accordance with no.1 and no.2 (above) as a response letter sent to the company within 7 days from the receiving date. If the buyer does
://www.sec.or.th/TH/Documents/DigitalAsset/DA-RegulatorySandBox.pdf. Further inquiries can be sent to the email: daregsandbox@sec.or.th.______________________Remark: * Notification of the Securities and Exchange
May 2020, SEC sent a circular to AIMC, the Provident Fund Association and the asset management companies with PVD portfolios, notifying the Notification of the Finance Ministry and requesting that asset
sent representatives to observe are Singapore, Malaysia, Taiwan, Hong Kong and the Philippines.However, after the ARFP project was officially launched on 1 February 2019, the first cross-border IPO