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
the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the
knowledge on financial, investment, and deposit protection, as well as to raise caution of investment scams. The topics covered deposit protection, the “Three Knows” (Know Oneself, Know Others, Know Own Risks
invest in such products should proceed with extra caution since:(1) The product above has not been screened with regard to its qualifications and smart contracts by SEC-approved ICO portals; (2
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