this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The
Securities Plc. twice for failing to keep records of his investment advice and clients? derivatives trade order instructions. The SEC therefore revealed inappropriate behavior of {A} for taking trading orders
further probe revealed that she interfered with a client's asset by transferring cash into the client's account. {C} admitted that she had done so to take responsibility for the client's investment loss due
Bangkok, January 14, 2013 ? The SEC revealed four key strategies, highlighting six initiatives to be launched in 2013. Its strategic direction includes: reaching out in response to the needs of
Bangkok, December 1, 2014 ? The SEC revealed its 2015 strategic plan focusing on six key developments with the aim of enhancing the integrity and resiliency of Thai capital market, promoting the Thai
cause the payments from TUCC bank account, claiming to use for the payments of the said BF and ASC cheques. The SEC findings revealed that some parts of the money withdrawn from TUCC bank account were
Group Securities Plc., the SEC's probe revealed that with a view to speculation, {C} and {D} jointly purchased PAO shares off-exchange before PAO shares were allowed to resume trading on-exchange. They
are left over shares from the allotment to the current shareholders. The excess shares In the case that there are more shares remaining than the subscription The company will allocate shares to
หลักประกันเป็นทรัพย์สินอื่นที่ไม่ใช่หลักทรัพย์ จดทะเบียนหรือหุ้นที่ซื้อขายในศูนย์ซื้อขายหลักทรัพย์ ให้กำหนดอัตรามาร์จิ้นเริ่มต้น = 100% 7. ทรัพย์สินส่วนเกิน (excess equity) equity - margin requirement 8