, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
, experiences and outcomes of financial and investment education as well as risk management. The cooperation will also address the contents and communication to target groups, integrated cooperation and
Bangkok, February 18, 2013 ? The SEC and the Thai Listed Companies Association (TLCA) hosted the ?SEC for CEO Forum? project to strengthen relationships and increase communication channels for
Sakkarin Ruamrangsri. 2.2 Corporate Affairs Division comprises Human Resource Department, Information and Communication Technology Department, the Office of the Secretary-General, General
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency