on offences relating to unfair derivatives trading, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
. The details of the rental areas for each company are as follows; Entity Floor Rental spaces (sq.m.) The Company 35,36 (Unit B3601), 37 and 39 (partial) 2,587.63 Oishi Trading Company Limited (“Oishi
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
personal relationships and/or connections in relation to placing, knowing about or colluding to place trading orders and/or allowing other persons to use securities trading accounts had placed SCN share
act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries