at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https
relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized
behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives
, the Ministry of Commerce; ?3.? To reduce burdens and costs of preparing financial https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6266 SEC public warning of investment solicitation by unauthorized
client's bank account. However, the transferred money was in fact from an unauthorized sale of other shares in the client's account, not the ones initially identified; (2) Soliciting a client to subscribe
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
leakage in case of using virtual desktop technology; (5) prevention of unauthorized access to information by other persons using the accommodation, e.g., family and friends; (6) inspection of the access