instructed JAS to rectify those financial statements by recognizing the provision based on the best estimate of the expenditure required to settle the present obligation by taking into account factors such as
had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
access to investment-related information. To fulfill this mission, the SEC developed the "Mutual Funds Insight" microsite to serve as a center of knowledge, services, and tools related to mutual fund
operators to adopt this suitability test to help improve service quality and better fulfill the investor demands,? Duangmon added.
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
Commission B.E. 2535 (1992) and the Notification of the Capital Market Supervisory Board. Additionally, they are obligated to fulfill duties outlined in the bondholders’ representative appointment agreement
considered to settle his current case with harsher punishment.