according to the asset allocation plan, (4) monitoring and rebalancing the portfolio, and (5) providing consolidated reports for customers’ review.“The business operators therefore play a highly important
preparation and disclosure of financial reports, from the latest annual and quarterly periods to the annual period during the past three consecutive years and the period of the latest quarter, including the
) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
investment solicitation, the solicator needs to obtain a proper securities business license. The SEC lists of licensed and approved persons are available at www.sec.or.th. For inquiries or reports of leads or
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien, and Teh Cheng Huat for operating unlicensed securities business.The compliant resulted from several reports
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperation, boost audit quality in the region while enhance reliability of financial reports of companies in ASEAN
List? banner. For further investigation, the SEC Help Center welcomes public assistance and reports of suspicious scams or unlicensed activities at tel: 02-263-6000 or complain@sec.or.th. Information