securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older
Vorapol Socatiyanurak. As agreed upon the joint meeting of the SEC and AIMC, in case of irregular foreign ETF closing price, asset management company may use indicative NAV of foreign ETF calculable from
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank
by commercial banks and banks established under specific laws, but limited to those with investment grade* credit rates or support rating**, as the case may be, including government-guaranteed banks
parties to effectively deal with the impact of flooding including operational procedure in case of emergency and preparation of backup plans with a view to facilitate continual securities trading,? said Mr