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
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
made once in cash for a total amount of 110,066,200 baht. 4. Basis used in determination on the value of consideration. It is agreement between buyer and seller by considering at present value of total
33.0 million, increased by THB 12.4 million or 60.2%. It resulted from the interest income from lawsuit against a government agency as a trade account receivable at THB 25.6 million which present as
fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its
private fund is not a provident fund, the private fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the