Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
Service Company Limited (ESES) directors, assisted and supported the execution of such trading transactions. ESES is deemed under control of Mr. Saran This case is in the process of inquiry by the special
Miss Tanika Tangpoonphonvivat During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other
Mr. Sittichai Leeswadtrakul During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other
operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the https://www.sec.or.th/EN/Pages
business. We urge the AIMC to make sure that its members strictly observe the SEC rules concerning the internal control and inspection of trading activities in their proprietary portfolios as well as
shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside information and having a conflict of interest in
23.28 Repealed. Clause 24. 29 A securities company shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside
. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system