market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
บันทึกเทปการรับคำสั่งซื้อขายหลักทรัพย์หรือสัญญาซื้อขายล่วงหน้าของลูกค้า กรณี {ก} ก.ล.ต. ได้ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกเทปการรับคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าและมี
หลักทรัพย์ราย {ข} {ค} และ {ฆ} มีผลตั้งแต่วันที่ 11 มีนาคม 2557ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) บริษัทหลักทรัพย์ คันทรี่ กรุ๊ป จำกัด (มหาชน) (บล. คันทรี่) พบว่า {ก} นักวิเคราะห์การ
Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed
inspection and further consideration are needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the thirty days period. The Office may extend the consideration
notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system inspection
supporting documents, except for the case that the system inspection and further consideration are needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the
operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office
to ensure operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at
appropriate; (2) The procedures to be made by the management company to ensure operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of