begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
March 2020. ______________________Notes: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart