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
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
2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY
Customers 236.50 291.18 -54.67 -18.78% Total Revenue 272.31 329.80 -57.49 -17.43% Net Profit for the Period 6.69 77.83 -71.14 -91.41% 2. Importing and Selling of Cutting Tools unit: THB million 2019 2018
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
in June 2016 as well as the launch of 35 new LED billboards. This product is increasingly popular with customers since being launched in July 2017. In addition, the business segment also benefited from
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving