behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
moderator. The topics of the conversation were: (1) Possible approaches for promoting conversations and discussions among investors, developers, business operators and the public sector; (2) Potential risks
trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
รายการ DCT Digital Future Talk นายไพบูลย์ ดำรงวารี ผู้อำนวยการ ฝ่ายจดทะเบียนหลักทรัพย์ 2 ร่วมบรรยายและเสวนาในรายการ DCT Digital Future Talk ในหัวข้อ “ปลดล็อก Crowdfunding ESOP และ Convertible Note เพื่อ
market to encourage SMEs to raise funds investors, and a talk about four aspects of knowledge about digital assets , a new subject receiving interest from the public. SEC Assistant Secretary-General
the capital market to encourage SMEs to raise funds investors, and a talk about four aspects of knowledge about digital assets , a new subject receiving interest from the public. SEC Assistant Secretary
ช่วงเดือนพฤศจิกายน 2567 – มกราคม 2568 ซึ่งเป็น pilot project ในการให้ความรู้กับกลุ่มเป้าหมายในรูปแบบ Edutainment กับมหาวิทยาลัยในพื้นที่กรุงเทพฯ จำนวน 5 แห่ง โดยมีกิจกรรม Inspirational Talk, Workshop
ASCO has been in talk with its members to set the report format before submitting to the SEC for approval of ASCO's regulation. Recent securities trading statistics indicated that investment of local