, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients
of duty is found. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
funding sources.SEC found that one of the problems and difficulties that prevent SMEs from accessing funds in the capital market is the laws and rules concerning fund mobilization, which cause unnecessary
investment fund, 5) notional value* of derivatives denominated in currencies of the foreign investment fund, and 6) mark-to-market** profit and loss denominated in currencies of the foreign investment
Board will consider and select applicants deemed suitable for nomination as the Secretary-General, taking into account their knowledge, experience, capital market expertise, and personal qualities.The
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet