For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
Mr. Gancanapol Geert van Compernolle Mr. Gancanapol Geert van Compernolle, authorized Director, responsible for the operation of L.V. TECHNOLOGY Public Company Limited (“LVT”), shall be liable for
. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account
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