consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
credit rating assignment by international CRAs established under foreign law, and the bonds must receive an issue rating not lower than the investment-grade level. This does not apply to private placements
Commission (SEC) on this exciting engagement on the topic of assessing the landscape of Thai securities businesses after COVID-19 and under digital disruption. This assignment is timely for the SEC to
, in any forms or through any communication channels, is given to Thai investors; 3. Revising the required qualifications and assignment period of foreign personnel to ensure that the advisory services
Cement Public Company Limited (SCCC). Khumsup, who at the time was a former executive of SUPER, had an access to the material information by virtue of being assigned by SUPER to contact and coordinate with
wholely owned subsidiary of The Siam Cement Public Company Limited, with regard to SCG?s plan to hold at least 30 percent of GLOBAL?s total voting shares by purchasing GLOBAL ordinary capital shares through
Technology Public Company Limited (SAT), (11) The Siam Cement Public Company Limited (SCC), (12) Ratchthani Leasing Public Company Limited (THANI), and (13) Thai Oil Public Company Limited (TOP). The 2015 Anti