authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

Bangkok, 25 January 2019 ? The SEC advises the public to be cautious with the solicitation to invest in the initial coin offering (ICO) of BSmart digital tokens as it has not been approved by the

Bangkok, May 26, 2014 ? The SEC requires an application and information disclosure for offshore offering of convertible debentures (CD) be jointly prepared by CD issuer and SEC-approved financial

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

Price”) on a lump sum basis equal to the value appraised by the valuers, namely Global Asset Valuer Co., Ltd. and Agency for Real Estate Affairs Co., Ltd., as the valuers approved by the SEC Office. The

conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

percent when calculating based on the total value of consideration criterion as approved in the same meeting, the total maximum value of the transaction shall be equivalent to 37.90 percent per the total

Directors Meeting No. 6/2018. 2. Approved the company’s performance and Financial Statement in the second quarter of 2018. 3. The meeting unanimously approved the appointment Mr. Yen, Ming-Shan to be Vice

neither been in SEC list of approved issuer nor submitted an application for approval to offer newly issued securities and/or digital token. Therefore, those receiving information or being solicited to