1 Application for Termination of Company Account Date: ..................................................... Attn: Secretary-General The Office of the Securities and Exchange Commission (SEC Office
multi-factor authentication for the email account and the trading account of digital assets to reduce the risk of cyber attack on the accounts and passwords. Investors should also follow digital asset
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
account) ผู้บริหารบัญชีผู้ใช้งาน (account administrator) และผู้สนับสนุนการนำส่งข้อมูล (ผู้จัดทำหรือเตรียมการข้อมูล) กำหนดบุคคลที่เกี่ยวข้องในการนำส่งข้อมูลต่อ ก.ล.ต. ซึ่งต้องมีการพิสูจน์และยืนยันตัวตนตาม
SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a
who found that the client?s account was used for securities trading while the client was sick and did not trade any securities. Although forbidden by the client, Kruawan continued trading securities
care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for
by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the
filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the
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