repayment capability of such customer. 10In order to follow according to the requirement in paragraph one, Derivatives broker shall follow according to the standard set out in the SEC Notification. Clause 14
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
closely monitoring the matter, the SEC has found that at around 08.30 hours on 2 September 2019, a suspicious Facebook account posted deceitful statements that misled the public to believe that such
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
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
statements ended 30 June 2019 of the Company, the highest transaction size is 19.98 percent based on the value of securities issued by the Company criterion. The combination of such transaction size and other