had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
investor base and create favorable capital market environment for the growing elderly population.In pursuing the strategic goals, the SEC is placing a greater importance on proactive communication
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
Foreign Currency 17/01/2017 16/02/2017 2. Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to
Effective Risk Management and Internal Control Principle 7 Ensure Disclosure and Financial Integrity Principle 8 Ensure Engagement and Communication with Shareholders Part 2 Guidelines and https
ภายใน (Internal) Questionnaire_B B Communication within https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx OFFER_DEBENT_EN.xlsx Electrical Products and Computer 08 Energy and Utilities 23,323.60 7 09
FinancialStatement 56-1 56-2 Ranking IVL INDORAMA VENTURES PUBLIC COMPANY LIMITED Filing FinancialStatement 56-1 56-2 Ranking ICN INFORMATION AND COMMUNICATION NETWORKS PUBLIC COMPANY LIMITED Filing FinancialStatement
legal action. Zipmex clients may contact the company to retrieve own assets through Zipmex’s official communication channels. Further inquiries may be sent to the SEC Complaint Center via Hotline 1207