2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will

investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking

to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for

ผูบ้รหิารบญัชผีูใ้ชง้าน Account Administrator การยืน่แบบแตง่ต ัง้ Account Administrator ระบบแจง้แตง่ตัง้ฯ Create ค ำขอโดย กำรกรอก e-Form Company account ระบบแจง้แตง่ตัง้ฯ Download ค ำขอ (pdf) & Print

investment account. In this regard, investors are usually requested to give the same information repeatedly when open a new account with different intermediaries. Such redundancy causes inconvenience and a

นำส่งภาพถ่ายประกาศและซักซ้อมความเข้าใจเกี่ยวกับการจัดทำและจัดส่งรายงานข้อมูลผู้ถือหน่วยลงทุนของกองทุนรวมของผู้ประกอบธุรกิจที่ให้บริการซื้อขายหน่วยลงทุนแบบไม่เปิดเผยชื่อลูกค้า (omnibus account)

rental (for the source of untreated water https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/202003/20030242.pdf 20052112.pdf channel remains unclear as there are remaining inventory of

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

in the account and according to the Public Act 115. Agenda 5 Approve to write off accumulated loss by using the premium on share. Opinion of the Board of Directors See as appropriate for the

concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the