... TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of
TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted principles and have reliable
broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted
broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill
Mr. Tana Uawithya Mr. Tana Uawithya, the director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), failed to supervise STHAI to prepare and submit the