Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and this English translation is strictly
Microsoft Word - 1Q2020 Results Notification Letter _1st draft__ENG May 12, 2020 The Director and Manager The Stock Exchange of Thailand Re: Information on First Quarter of 2020 Operating Results KCE
Microsoft Word - 3Q2020 Results Notification Letter _Final_ THAI 10 พฤศจิกายน 2563 เรือง ชี แจงผลการดาํเนนิงานไตรมาส 3 ปี 2563 เรียน กรรมการและผู้จดัการ ตลาดหลกัทรัพย์แหง่ประเทศไทย บริษัท เคซีอี อี
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order
information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to