orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to

securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A

recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms

concerning personnel . Clause 7 1 The SEC Office would deliberate the application for obtaining an approval to appoint a person to be personnel in the capital market business within 5 business days as from the

The SEC Office would deliberate the application for obtaining an approval to appoint a person to be personnel in the capital market business within 5 business days as from the date when the SEC Office

deliberate further, in accordance with Article 5 of the Social Enterprise Promotion Act B.E. 2562 (2018), which stipulates that social enterprises must have good corporate governance in its

from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of

. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies