honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to
this connection, related mutual fund investment documents were counterfeited to make believe that the clients’ orders had been executed. Teerasak also invited his clients to open bank savings accounts
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from
undertake securities business in the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares