must report to the Board on any circumstances that may give rise to conflicts of interest and should always avoid any actions that may cause conflicts of interest; ë Confidentiality: The SEC Board
customer identity, banks must perform the following actions: (1) Face-to-face identity verification: Banks must use data from reliable sources. For instance, they must check data from a smart card reader or
, and unauthorized securities businesses. We took legal actions on such wrongdoings and by the end of the year, we managed to prevent considerable sums of damages. On regulatory side, we continued to
or take any actions as specified in the scheme to maintain the investment unit at a constant price. Investment unit values allotted to each unitholder shall be rounded up to 2 decimal digits according
/2001 2. Notification of the Office of the Securities and Exchange Commission SorNor. 12/2545 Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
Bangkok, July 20, 2015 ? The SEC takes further actions under the securities and exchange law after the Department of Business Development (DBD) clearly indicated that disallowing shareholders to
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
., Clubhouse, Line, and Facebook, each having a substantial user base. Morakot adopted a normal business approach and received fees or other forms of compensation.His actions above are liable to be an