means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
issued loans to four registered companies in Cyprus and another one in Singapore, in the total amount of approximately US$54 million dollars with Mr. Konoshita as the controller and the ultimate benefactor
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accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
V ONE-GLOBALTOP8M6 1 ▪ ▪ • • • ▪ • • ▪ • • ONE-GLOBALTOP8M6 2 ▪ • • • • • • • • • • ONE-GLOBALTOP8M6 3 ต ่ ต่ ต ่ำ ต ่ ONE-GLOBALTOP8M6 4 ค่าธรรมเนียมที่เรียกเก็บจากกองทุนรวม (% ต่อปีของ NAV) * ค่ำ
Period As Of Details ONE TO ONE CONTACTS PUBLIC COMPANY LIMITED 2023 Reviewed Consolidated Q2 30/06/2023 ONE TO ONE CONTACTS PUBLIC COMPANY LIMITED 2023 Reviewed Company Q2 30/06/2023 ONE TO ONE CONTACTS
to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders