a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
filed in the name of Mr. Porameth Rungrongtanin and did not disclose that Mr. Sathit was the owner of ABC shares. SEC Act S.247 Settlement Committee Meeting No. 9/2018 Settlement Committee Order No
the recognition of SEC Thailand on the global stage. Currently, the IOSCO Board comprises 35 member regulators from countries worldwide.
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial
stage of live. SEC Secretary-General Vorapol Socatiyanurak said the SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project will co-host an event on
1000X Limited Since January 12, 2022, 1000X Limited ("1000X"), the owner of https://www.1000x.live ("1000x.live"), has provided services or held itself out to the public as