inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. Clause 5 In the case where the license of an association related to
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
unitholders attending the meetings or sending the vote letter if it is a resolution on general matters such as changing the fund type from a closed-end fund to an open-end fund or merging funds to reduce
volume. 2. Other income increased 66,219 baht compared to the same period of the last year mainly from the increase from short-term investment in open-ended fund. 3. Cost of service decreased 3,773,116
Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the circular clarifying the guidelines for providing digital asset
situation The Center for COVID-19 Situation Administration (CCSA) has announced the measures to mitigate Phase 3 starting on 1st June 2020 by re-open moderate to high risk businesses and activities which