decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Companies dated 17 January 2005. The SEC subsequently put each wrongdoer on probation for a period of one year, starting from July 27, 2006 to July 26, 2007. Exchanging trader IDs among approved
of their clients in violation of the Rules of Conduct prescribed by the SEC Notifications. The probation for each wrongdoer lasts for one year, starting from December 30, 2006. Preecha was
cooperation from the Department of Special Investigation (DSI). In addition, those having clues or evidence that could lead to the wrongdoer are able to contact our regular channels.?
Securities and Exchange Act B.E. 2535. The wrongdoer shall be liable to imprisonment for a term not exceeding two years or a fine not less than 500,000 baht, or both.? ?Our plans to cope with such problems
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
(a) unlawful act caused by intention, gross negligence or merely lack of due care; (b) benefits gained or will be gained by a wrongdoer or person related to the unlawful acts or any other person; (c
covered all important aspects as well as will randomly trace financial transactions to see whether there was any colluded stock manipulation. I would like to reaffirm that if any wrongdoer is found, the SEC
. Hence, despite the lost in revenue, the overall margin for accounting and financial outsourcing did not suffered. For the ERP business, it was a year that we were busy fulfilling the backlog from last
advantage of the period after companies’ annual general meetings (AGMs) to have conversations about the longer term, which cannot always be addressed in the intensely busy period in the run up to the AGM. Or