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

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the

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

Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then

Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41

paragraph of Section 47 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section

Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 33, Section 34, Section 36

second paragraph of Section 47 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with