submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses
licensing manual on digital asset businesses has been created in compliance with the Licensing Facilitation Act B.E. 2558 (2515) to clearly specify the process and duration for considering application
manual on digital asset businesses has been created in compliance with the Licensing Facilitation Act B.E. 2558 (2515) to clearly specify the process and duration for considering application approval and
executives of listed companies in Thailand for the duration of the legal proceedings. Meanwhile, the managerial authority over POLAR’s assets was transferred to the receiver of the Legal Execution
the investigative expenses, (4) ban the holding of director or executive position at any issuing company or securities company for twice the duration specified by the Civil Sanction Committee, and (5
relevant offense, (3) impose a reimbursement of the investigative expenses, (4) ban the holding of director or executive position at any issuing company or securities company for twice the duration
employers. On 29 April 2020, Finance Minister Uttama Savanayana issued the Notification of the Finance Ministry concerning Determination of Business Types, Duration and Conditions for Employees or Employers
investment policies, for example, the set-up fund fee, the management fee for the entire duration even when reaching the trigger point ahead of schedule, or the trigger redemption fee. Also, the new rules