operation can give additional information for the benefit of the ECD Police?s investigation and litigation at 0-2237-1199. Investors are strongly advised to consult the License Check page at www.sec.or.th to
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
allowed to give investment advice on all types of non-complex capital market products and complex or high-risk debt instruments or investment units, e.g., investment units of mutual funds offered to
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
units. At least, no persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall
sale/purchase ( ) Other (please specify) 3. Date of filing this report to the SEC 02/10/2019 90-day period (the first day being the date of action under item 2 which give rise to this reporting
which give rise to this reporting obligation) Baht/Unit, on the date of: 5. Information about the reporting person name Mr. Wangyoup Jhee 6. Person authorised to contact with the SEC (if any) Mr
via Zcom Securities 3. Date of filing this report to the SEC 12/12/2019 90-day period (the first day being the date of action under item 2 which give rise to this reporting obligation) 1.04 Baht/Unit
( ) Other (please specify) 3. Date of filing this report to the SEC 19/12/2019 90-day period (the first day being the date of action under item 2 which give rise to this reporting obligation) Baht/Unit