allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
, the SEC urged short-term debt issuers to secure a reserve fund to prevent liquidity issues. In this particular case, the company must clarify information to investors to prevent damage to the overall
Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse
conjunction with Section 244(3) and subject to the penalties under Section 296 and Section 296/2 of the said Act. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction on
with Section 86 of the Criminal Code. The Civil Sanction Committee has resolved to instruct SEC to impose civil sanction whereby Chanyarat and Eakarat must pay a separate civil penalty and compensate
Cybertron และ I-Secure และ 2) การเสวนาแลกเปลี่ยนมุมมองและประสบการณ์ของผู้ที่ปฏิบัติงานในสายงานนี้ การแนะแนวเส้นทางอาชีพในด้านที่เกี่ยวข้อง รวมถึงการให้คำปรึกษาเรื่องการฝึกงานและการสมัครงานโดยทีมงานฝ่าย
technology; (2) Defining clear roles, responsibilities, and involvement of the board of directors, including the governance body, to ensure secure, effective, and efficient IT practices and usage in the
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
assistant and supporter to the commission of the offenses and subject to the penalties in conjunction with Section 86 of the Penal Code. The Civil Sanction Committee has resolved to instruct the SEC to
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker