time in order to have cross-regional discussion that serves the objective of this forum. The uncertainties caused by the pandemic have emphasized the importance of the forum as a venue for gathering
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
that time; given that it would support the company to extend business collaboration and widen its property development opportunity. In addition, {X1} Company would obtain dividend payment from SAMCO and
? 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
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานเสวนา Lunch-time discussion on business and human rights in Thailand เพื่อร่วมแลกเปลี่ยน
investors at any given time; (2) having the characteristics of fundraising from the public in general with advertising or solicitation regarding the issuance of bills, excluding bills with the principal and
report and the amended financial statements was 6 February 2017. KC requested an extension to the deadline of the special audit report to allow more time to complete the examination and review of all
, SEC Secretary-General will give opening remarks at 20.00 hours (local time), followed by a live exclusive interview with Ms. Hester Peirce, US SEC Commissioner, on the topic, “ U.S. SEC’s Move on
set out below is not meant to be exhaustive and may be updated and revised from time to time. These FAQs are only for general reference and do not constitute legal advice. Compliance with all the