Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
/2022 Approve the investment and allocation of newly issued ordinary shares to specific person (Revise) Remark: Data will be displayed within 3 years. Last updated on 19 January 2023
goals. The portfolio will be adjusted with a view to rebalancing asset allocation to suit investors? age and risk appetite during a lifecycle. For those who are interested, please find additional
the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and
management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and shall arrange following up and compliance with the said policies and plans
funds and provident funds. The allocation of shares to cornerstone investors would make an IPO more attractive to the investing public, and thus more likely to be a success. In addition, the exclusive
investment in all kinds of capital market products. In this regard, advices on basic asset allocation for investors are also provided.Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC
Bangkok, January 19, 2012 ? The SEC is seeking public comments on a draft amendment to the property fund rule governing allocation of investment units which would ? through exemption of the small lot