to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The
the consistency and cybersecurity that is appropriate and sufficient to protect against possible risks from cyber threats. _____________________________
transfers from the client?s account, which was deemed severe misconducts in contravention of the standards of conduct under Clause 11(1) of the Notification of the Office of the Securities and Exchange
decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her
11(1) and (2) of the SEC Notification No. SorKhor 15/2548 Regarding the Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. Owing to such severe offences, the SEC deemed
such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
clients who suffered substantial damage from her misconduct which she avoided to acknowledge. This is a case of severe wrongdoing. The SEC, therefore, bans Napasanan from being an investor conduct in the
offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to
appropriateness and consistency with current situations. The two notifications are: (1) Notification of the Office of the Securities and Exchange Commission regarding Reporting of Results of Public Offering
in other countries of canned sweet corn and pouched sweet corn. However, the sale price per unit decreased, the severe price competition in the market and Thai Baht strengthen. As a result revenue from