organizer in advance, informing them of these concerns before the event date.On 7 September 2024, the date of the event, the SEC conducted an on-site inspection and found that some exhibitors were engaging in
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
Capital Association, respectively, to display online exhibition booths with SEC. The first company, Advance Web Service Public Company Limited operates in E-Commerce and IT Solution business and is in the
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must
must be within the scope agreed by the clients in advance, in order to expand the service scope of the business operators and meet the investors’ requirements in a more comprehensive and convenient
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
the case of Thai national holiday, selling agent may exercise own discretion whether to trade investment units providing that the service information must be disclosed to investors in advance. In
applicant?s advance rental payment made to such counterparty, although the applicant?s former headquarter was at the same place as the mentioned counterparty and another related person. (4) Information on
related to Suriya who was believed to be the mastermind of the rehabilitation and acquisition of POWER?s shares; 2. Embezzling POWER?s money by concealing through four transactions of the company?s advance