securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

The SEC held a group meeting with nine organizations to integrate collaboration to prevent and suppress digital asset-related frauds and promote investor education regarding digital asset

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), provided financial literacy lectures to

The Securities and Exchange Commission (SEC), represented by Ms. Sarica Apiwatthakakul, Director of the Capital Market Education Department, extended the SEC congratulations to the King

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with SEC Ambassadors, delivered a financial and investment lecture to 80

The Securities and Exchange Commission (SEC), led by the Capital Market Education Department, along with SEC Ambassadors and the National Saving Fund (NSF), delivered a lecture on financial literacy