Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
Desktop Marketing Co.,Ltd. Between August 2001 and 22 May 2003, Desktop Marketing Co.,Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training
. ▪ Change Management. ▪ Backup and IT Contingency Plan. ▪ Computer Operation. ▪ IT Outsourcing. 3. Compliance of policy. o Announcing and communicating to concerned person thoroughly for the purpose of
of benefits from a client’s derivatives trading; (2) a person with the controlling power over a client’s derivatives trading; or (3) a financial supporter of a client for the benefit of trading or
Securities and Exchange Commission 3 Appendix Definitions “IT assets” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e