made available, including articles as well as local and international developments in such areas while ?AC Corner? has been set up as a communication channel with audit committees. Furthermore, the
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
investor base and create favorable capital market environment for the growing elderly population.In pursuing the strategic goals, the SEC is placing a greater importance on proactive communication
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
349 SJ Infinite I Business Complex, Unit 1507, 15th Floor, Vibhavadi-Rangsit Road, Chompol, Chatuchak, Bangkok, 10900 Tel. 02 075 5667-8 Fax. 02 075 5669 Website: www.eicasia.net Ref. EIC-AD005/2018
349 SJ Infinite I Business Complex, Unit 1507, 15th Floor, Vibhavadi-Rangsit Road, Chompol, Chatuchak, Bangkok, 10900 Tel. 02 075 5667-8 Fax. 02 075 5669 Website: www.eicasia.net (Translation) Ref