of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor
. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account
) Derivatives, each coming with its own strong market position. The acquisition comes with its own strong R&D and technical capabilities apart from portfolio of about 900 patents and other intellectual properties
use their own funds to pay a compensation to the affected mutual funds instead of reducing the number of units. In other cases, the regulations do allow AMCs to compensate using such method. The SEC has
fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive
allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
found that several withdrawal transactions were gradually made from the client's ATS account to his own bank account, totaling 6.16 million baht. Therefore, {A} was considered the true beneficiary of the
understanding on how to effectively manage their own money and make their own financial plan. To be broadcasted on TRUE4U Digital TV, the show is now taking applications and will select 12 participants to compete
wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information