of the intermediary has performed activities outside the scopes as specified in Clause 18 or has taken any actions which may cause disgrace to the reputation of Thailand or may impact to international

of the intermediary has performed activities outside the scopes as specified in Clause 18 or has taken any actions which may cause disgrace to the reputation of Thailand or may impact to international

operator shall be bound to the actions undertaken by the SEC Office under Section 50 or by the derivatives clearing house under Section 51 as if such derivatives business operator has undertaken such actions

operator shall be bound to the actions undertaken by the SEC Office under Section 50 or by the derivatives clearing house under Section 51 as if such derivatives business operator has undertaken such actions

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

. Enforcement actions should be publicised, to serve as a deterrent. Exchanging views with other jurisdictions is also useful and helpful to promote effective imple- mentation and enforcement. Asian jurisdictions

/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