failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
the information on the clients’ assets under its custody. The exchange is also required to show evidence on the investments of the clients’ digital assets that had been deposited with ZipUp via various
approval for listed companies to offer newly issued shares in private placement, dated 28 October 2015, as amended. ( the " Private Placement Notifications" ) . However, the Company’s common shares are not
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and
., Ltd. in 99,997 shares which is 99.997% of the capital at 10.00 Baht per share (par value) in total value of 999,970.00 Baht. 2. There is an approval with authorization to board of executive directors to
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date