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
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
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
approval of the SEC Board in the event that the operation and management of the listed company may materially affect the benefit of the public, the company or the shareholders, and that other normal channels
fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought
different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual fund (RMF) to a client; she recommended that
subsidiary at the price with a discount not exceeding 10 percent of the valuation of investment monies recommended by the financial advisor from KT Zmico Securities Co., Ltd (financial advisor in an approved
Director Nomination Best Practices will be of benefit to the Board of Directors of listed companies to determine a board nomination process that is effective and transparent. The Thai IOD would like to thank