keeps records of lending of money to a client for purchasing securities and lending of securities to a client for making a short sale; 4“initial margin rate” means a minimum rate of money to be paid or
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
experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
institution established under specific laws, who seeks to be registered with the Office as a qualified fund supervisor shall; (1) Maintain capital adequacy and capital reserves as specified by the rules of laws
seeks to be registered with the Office as a qualified fund supervisor shall; (1) Maintain capital adequacy and capital reserves as specified by the rules of laws governing the business operation of such
, which helped support investors’ confidence. This is despite the fact that this factor, coupled with the stable policy rate, resulted in increased volatility in money and capital markets as well as foreign
... [บริษัทนี้ยกเลิกการใช้งาน] TrueVisions... A&P SIAM NEO GROUP PUBLIC COMPANY LIMI... A-HOST COMPANY LIMITED A.C RECORDS COMPANY LIMITED A.J. PLAST PUBLIC COMPANY LIMITED A.P.F.HOSPITALLITY COMPANY LIMITED
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in