an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities
พฤติกรรมที่ไม่เหมาะสมราย {ฆ}ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} (ขณะยังทำงานสังกัด บล.เคที ซีมิโก้) ได้รับมอบหมายจากลูกค้าในการตัดสินใจซื้อขายหลักทรัพย์แทนลูกค้า และไม่บันทึกการ
required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case
Insurance Public Company Limited (BKI). Following a referral from the Stock Exchange of Thailand, the SEC?s further inspection has revealed that Chai, then chairman and chairman of the executive board of
further inspection. Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter, please go to compliant filed with inquiry
} ก.ล.ต. ได้ตรวจสอบการดำเนินการของบริษัทหลักทรัพย์ตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกเทปการรับคำสั่งซื้อขายหลักทรัพย์และมีความถี่ในการรับคำสั่งที่ไม่บันทึกเทปค่อนข้างมาก เช่นเดียวกับกรณี {ข
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report