Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
that indicates that a director, manager or the person responsible for the operation of a juristic person may have committed an offense under Section 89/25, for example, taking the assets of the
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
in the Departmental Level State Agency Category. The SEC is committed to leveraging digital technology to continuously enhance services and operational efficiency under the principle of providing
(TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on December 11, 2014 when Atcmima took an exam for qualifying investment consultant under the name of
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
evidences, it is reasonable to believe that Mr. Suphan Sethapanich has obtained benefits from selling the bills of exchange (B/E). He, therefore, committed an offense with dishonest intent and obtained
committed upon the dishonest misappropriation of the fund for personal gains. The actions committed by Mr. Chiyachantana and Ms. Hongsri were liable to be the offenses under Section 308, Section 311
and application for bounty or gratuity, consideration on entitlement to obtain bounty, procedures for bounty and gratuity payment, proportion of bounty and gratuity and criteria for obtaining bounty and