) 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

, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. DAB Act S.94 in conjunction with 30

, rules and regulations. The SEC therefore put him on probation, under the Point System, by recording and accumulating his demerits with four demerit points. The demerits will stay on the record for three

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

ประกอบการพิจารณา นอกจากนี้ ยังเป็นครั้งแรกที่ ก.ล.ต. ใช้การเขียนภาพสรุปเนื้อหา (visual recording) ให้เข้าใจง่าย ซึ่งจะช่วยให้ผู้บริหารและพนักงาน ก.ล.ต. มีความเข้าใจในแนวทางและทิศทางการทำงาน เพื่อร่วมกัน

/2020, the Company recorded selling and administration expenses of Baht 142.6 Million, which had decreased from Q2/2019 by Baht 16.0 Million, or 10.1% because there was record of past services cost for

revenue in Q2 of this year. ▪ The increasing of the cost of consulting service and the administrative expenses in Q2/2019 come mainly from recording of employee benefit of those who worked for a continuous

recording of the event is available at https://www.facebook.com/sec.or.th/videos/925094079016597/Professor Wisit Wisitsora-at, SEC Chairman, delivers opening remarks.Mrs. Pornanong Budsaratragoon, SEC

, falsifying documents and recording false accounting information. The SEC later issued a freezing order against Wichai?s assets for 180 days to prevent him from removing or disposing the assets. The order would

time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client