provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
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
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
เรื่อง หน้า 1. การยื่นคำขอลงทะเบียน เปลี่ยนแปลงข้อมูล และยกเลิกบัญชีผู้ใช้งานสำหรับนิติบุคคลหรือ คณะบุคคล (company account) ต่อสำนักงาน ก.ล.ต. (กรณีนิติบุคคล หรือคณะบุคคลที่มี หน้าที่นำส่งข้อมูลต่อสำนักงาน
account for Sippakorn to send trading orders, facilitated respective payments for the provided account, and used such client's account for his own securities trading. Furthermore, he ordered a subordinate
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
shares through Ziriwat?s securities trading account. Their actions were considered as taking an advantage over other investors due to their use of non-public information on Pulto LNG Project value where
and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without