; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market business. The SEC strongly advises that investors check their trading
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
trading initiating after the market closing time shall be deemed as it is initiating in the next business day. Clause 3 A derivatives broker shall at least include the following information in the
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
named in the complaint as aiders and abettors.With a referral from the Stock Exchange of Thailand (SET) concerning trading behaviors of some investors involving suspected collusion with personnel of asset
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
million. For Capital market business, the market shares (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was 4.55%, decreased from 4.69% in 2017, ranking 7th from total 38