Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
the criteria for considering the qualifications of bond issuers with a record of using the funds for a wrong purpose. Additionally, the SEC is proposing to revise the wording in the relevant
derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
GROUP PUBLIC COMPANY LIMITED Disclosure Business News ( 28 record(s) found) Date Time Heading Link 03/03/2022 17:46 Notifications of the resolutions of the BODs Meeting No. 1/2022 regarding dividend
. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in
the drafting of all related notifications of the SEC and notifications of the Office.On February 21, 1997, the Minister of Finance affixed his signature on two notifications of the SEC on Criteria
Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand
through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the