Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices 22/05/2007 01/06/2007 2. Notification of the Securities and Exchange
, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices 22/05/2007 01/06/2007 2. Notification of Capital Market Supervisory Board
/2011 2. Notification of Capital Market Supervisory Board TorThor 7/2551 Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices 02/04/2008 01/05
derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty
with a discount of more than 10 percent of the market price pursuant to the Notification of the Capital Market Supervisory Board No. Tor Chor. 72/2558 Re: Permission for Listed Companies to Offer Newly
than 10 percent of the market price pursuant to the Notification of the Capital Market Supervisory Board No. Tor Chor. 72/2558 Re: Permission for Listed Companies to Offer Newly Issued Ordinary Shares to
on special purpose juristic persons for securitization; Be it, therefore, enacted by the Majesty the King, by and with the advice and consent of the National Legislative Assembly, as follows: Section 1