Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that BLA’s operating net loss of 880.59 million baht significantly
stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded
the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in
stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded
such share in such a manner that stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into
/ Frequent / Persistent 7 VE scale of assessment: Minor / Significant / High / Critical 8 VE scale of assessment: Non-communicative / Reactive / Remediative / Proactive 3 Verification – The KPI will be