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
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material
developed for the financial products and services to meet the needs of the customer which the products and the services of the bank can be divided into 4 categories as follows: 1. Deposit Account Service The
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
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit