Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought
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
Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective
consultant.Thereafter, {D} told {F} and {G} to find a client to purchase the acquired PAO shares where {H}, another investment consultant, was brought into the picture. {H} then solicited and gave unprofessional advice
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for
management company and the client have agreed to disclose (7) Conditions on the change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the
shareholders’ meeting of the Company shall have approved the entering into the Transaction; and (2) No change has occurred, which causes a material adverse effect on assets, liabilities, business opportunity
Public Company Limited and its subsidiaries had the operation results for the 6-month period ended 30 June 2020 with the following details: unit: THB million 2020 2019 Change (THB mill.) Change (%) Revenue