client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
PUBLIC COMPANY LIMITED BANGKOK METROPOLITAN TRUST COMPANY LIMITED CMIC FINANCE AND SECURITIES PUBLIC COMPANY LIMITED SIAM CITY SYNDICATE FINANCE AND SECURITIES PUBLIC COMPANY LIMITED SIAM COMMERCIAL TRUST
letter no. TG018/2561 on 19 January 2018) 5. Testing and Inspection service decreased from the previous year of 4.21 Million Baht, accounting for 6.85% as the decreased in service around metropolitan area
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place