Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but for normal situations, business operators must receive the SEC’s prior approval. Hence, business...
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
Management Name : Miss MUNCHUSA TERAPONGPIPAT | Type of securities : Common share | Methods of Acquisition / Disposition : Accept Transfer from depositor | Transaction Date : 08/04/2016
Management Name : Mr VIBOOLSAK UDOMVANICH | Type of securities : Common share | Methods of Acquisition / Disposition : Accept Transfer from depositor | Transaction Date : 06/06/2016
Management Name : Mr VIBOOLSAK UDOMVANICH | Type of securities : Common share | Methods of Acquisition / Disposition : Accept Transfer from depositor | Transaction Date : 15/09/2016
Management Name : Mr VIBOOLSAK UDOMVANICH | Type of securities : Common share | Methods of Acquisition / Disposition : Accept Transfer from depositor | Transaction Date : 26/09/2016
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
those of securities company, securities company may not accept trading order of units of foreign collective investment scheme on the said hours and days, providing further that it shall give prior notice
DAOL Securities (Thailand) Public Company Limited Between October 1, 2022 and July 10, 2023, DAOL Securities (Thailand) Public Company Limited, accept purchasing or selling orders from customers