Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
(BLA) shares to be sold from the account of BKI in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net loss of 880.59 million
หนังสือแต่งตั้งเจ้าหน้าที่ปฏิบัติการ (operating officer) ในการส่งข้อมูลเกี่ยวกับการเสนอขายหลักทรัพย์ผ่านระบบคราวด์ฟันดิง
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Notification of the Securities and Exchange Commission KorThor 17/2560 Rules, Conditions and Procedures for Applying for Licenses and Granting Licenses for Operating Securities Clearing House
Bangkok, February 2, 2006 ? The SEC has cancelled an approval for Sanguan Thiravetyan as an investor contact functioning as marketing officer after finding that he had violated the rules of conduct