Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to
suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior. The SEC found from its routine inspection that {A
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
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decreased from THB 327 million or THB 129 million lower than the same period of the year 2018 (2018 gross profit was THB 456 million) and effect from Global sugar price 13- 13.8 c/p or 2-3.8 c/p lower than
) Digital asset regulatory https://www.sec.or.th/TH/Documents/Seminars/seminar-240667-01-en.pdf E_1 Legal_FA_2015_12_29-c Significant regulatory changes in the second quarter of 2018 that may have affected
three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives
Microsoft Word - 60-12-20 ELCID- Eng-19-12-2017 at 8.53 Decembe Subject: To: Enclosur Nation M Directors Directors group wi industrie media an 1. A c er 19, 2017 Notifica Restruc Director The Sto