benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานสัมมนา “Women in Business: Why Thailand is a success story in women leadership” และกล่าว
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
assets for maximum benefit (6) Disposed assets details : Two-story single house with decoration and other supplies in Green Valley Country Club at Bang Chalong ...2 Translation - 2 - Sub-district, Bang Phi