sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as
Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section
shall be compliant with the following regulations: (1) an application for approval and an approval of the offer for sale of units of foreign collective investment scheme, and the conditions after approval
undertaking such securities business under Clause 24 of the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551. Clause 3 The following securities business
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
, Bangkok, 10330, the meeting resolved to approve undertaking 1 connected transaction; in the total value of 473,700 baht/year (0.01% of Net Tangible Asset: NTA) as of June 30, 2017 as the following details
who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the following personal