SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
Company Limited "VNG" and subsidiaries hereby agreed to disclose the related transactions relating to regular business practice and supporting to regular business practice of related companies as following
retirement funds as new investment choices for the retired with demand for regular payouts and return from their retirement benefits. The fund?s portfolio will be allocated to invest in not too risky assets
exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary
) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods; and (c) the customary practice of such
actual investment amount, but not exceeding 200,000 baht, from annual assessable income as an additional personal income tax allowance, separate from the tax allowance for investment in SSF regular, and