The SEC?s inspection found that clients of brokers in Had Yai had used non-financial institution loans for purchasing stocks, therefore required all brokers to closely monitor abnormal activities as
buy securities in the manner that risked their financial status and payment ability Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21
systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30
the trading of SCIB-C1 during such period was in a dispersal manner through various brokers. It was neither abnormal nor considered as having price manipulation involved. However, the SEC has requested
preventive measures on risk arising from abnormal trading as follows: Shares prohibited from margin loan and net settlement should be applied only to 1. shares with one-week turnover ratio of 100% or over
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the
their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...
frameworks do not unduly constrain their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...