civil monetary penalty and disgorgement money will be transmitted to the Ministry of Finance as public revenue.
requires that the operatives are thoroughly acknowledged and of understanding in their roles and the limits of their respective power.SEC and the aforementioned five state departments have partnered and
securities trading as well as amount of securities and prices, all of which were acknowledged by the client's authorized person. Making securities trading decisions on behalf of client is in violation of
services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The
some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading
clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Nam for hosting the 28th ACMF meeting and the inaugural ASEAN Green Bond Standards Roundtable, and acknowledged the support of the Asian Development Bank in many of ACMF's initiatives, particularly in