Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
บริษัท หลักทรัพย์จัดการกองทุนอีสท์สปริง (ประเทศไทย) จำกัด|กองทุนรวมฟีดเดอร์ | วันที่เสนอขาย : 11/07/2562 - 19/07/2562
บริษัท หลักทรัพย์จัดการกองทุนเอ็มเอฟซี จำกัด (มหาชน)|กองทุนรวมที่มีการกระจายการลงทุนน้อยกว่าเกณฑ์มาตรฐาน | วันที่เสนอขาย : 20/08/2550 - 20/08/2550
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 25/06/2024 - 03/07/2024
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November