, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
than such specified age. Furthermore, the findings showed that Nakul had not properly conducted cadastral survey of land and inspected the building structures and renovation records prior to Montri Fund
(20%) Company 72 89 (19%) TBSP (1) - (100%) THB million 9M18 9M17 %Chg As Reported Total NP 458 252 82% Company 267 252 6% TBSP 1 - 100% One-time gain * 214 - 100% One-time loss A) (24) - (100%) * One
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or