the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading
clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
Building Confidence in the Capital Market No. 139/2014 SEC notifies JAS to rectify 2013 and Q2/2014 financial statements Bangkok, September 25, 2014 – The SEC notified Jasmine International Plc. (JAS
Building Confidence in the Capital Market No. 10/2017 SEC grants a second extension to KC special audit report submission Bangkok, 13 March 2017 – The SEC has extended the deadline for submitting the
Building Confidence in the Capital Market No. 103/2014 Extension of deadline for VTE financial statements Bangkok, July 21, 2014 – The SEC extended the deadline for submitting Vintage Engineering Plc
) ” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order