According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
ลงทุน รุ่นใหม่ที่เข้าถึงข้อมูลทาง internet ซึ่งมีพฤติกรรมที่ชอบอ่าน ค้นคว้า เปรียบเทียบข้อมูลจากหลายๆ แหล่ง ด้วยตนเอง อย่างไรก็ดี พฤติกรรมโดยทั่วไปของผู้ลงทุนส่วนใหญ่ยังคงมักแสวงหาผลตอบแทนสูง ๆ (search
, fibre optics network will serve as fundamental infrastructure to leverage for value added services such as Domestic Data Circuit, Corporate Internet, Cloud and Data Center, as well as the upcoming 5G
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
shortcomings could potentially lead to money laundering and the financing of terrorism. Additionally, the company has deficiencies in the system for safeguarding client assets denominated in Thai baht, non
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and