transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
evidence, SEC has found that Artit gave investment advice and solicited the general public to invest in securities and derivatives. In so doing, he used the Japhoon Facebook account as an advertising channel
clarifications to the assessor in the same sessions as well as submitting empirical evidence and answering the assessor’s inquiries. “Protecting investors in the capital market is one of our most important
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
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of
located at 240/31 Ratchadapisek Rd., Huaykwang, Bangkok as well as Navista?s site. The evidence indicated that both companies, by representing themselves to the general public as gold futures trading
clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been
market conditions. The evidence showed that Sagha?s continuous trading activities in concealment had misled and lured the public to trade FOCUS, IFEC and RCI shares, and that trading orders were matched
evidence to clarify decrease in the production yield. The AIE auditor also expressed a qualified opinion on the statement of the financial position for the year 2015 because of failure to determine whether